Brian A. Barker

SOUTHSTATE ADVISORY

GREENVILLE, SC 29601

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CRD#: 4263994

Professional summary

Brian Alan Barker, CFP® is a registered financial advisor currently at SOUTHSTATE ADVISORY, INC. located in Greenville, South Carolina.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Brian has worked at 4 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Alan Barker's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

February 8, 2017 - Present

SOUTHSTATE ADVISORY, INC.

Office #1: 200 East Broad Street Suite 100, Greenville, SC 29601

RIA

CRD#: 153113

GREENVILLE, SC

Past

November 3, 2015 - May 20, 2019

MINIS & COMPANY

RIA

CRD#: 145238

Greenville, SC

Past

February 12, 2004 - January 18, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GREENVILLE, SC

Past

December 19, 2003 - January 18, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

September 20, 2000 - February 19, 2003

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SOUTHSTATE ADVISORY, INC.

CRD#: 153113 / SEC#: 801-71264

RIA

Registered Investment Advisory firm - (4/7/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(2/24/2020)

IAR

North Carolina
(6/6/2019)

IAR

South Carolina
(2/8/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/5/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/19/2000

General Securities Representative Examination

Current Firm

SOUTHSTATE ADVISORY, INC.

CRD#: 153113 / SEC#: 801-71264

RIA

Registered Investment Advisory firm - (4/7/2010 Approved)

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Contact information

Main Address

520 Gervais St, Columbia, SC 29201

Mailing Address

Phone number

(803) 231-3492

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOUTH STATE ADVISORY, INC. ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	441
AUM (Assets Under Management)	$ 3,783,729,428

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/27/2025	Cover Page	Report
01/26/2024	Cover Page	Report
03/30/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Brian A. Barker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Alan Barker's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUTHSTATE ADVISORY, INC.

MINIS & COMPANY

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

OSAIC WEALTH, INC.

Primary Firm SEC Registration

SOUTHSTATE ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/5/2000

Series 7

Date: 9/19/2000

Current Firm

SOUTHSTATE ADVISORY, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SOUTHSTATE ADVISORY, INC.

TRUST BUT VERIFY

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