TB
Tracy L. Barnas
MWA FINANCIAL SERVICES
Springfield, MO
Some features on this profile are disabled
CRD#: 4271002
TB
Professional summary
Tracy Lea Barnas, who also goes by Tracy L Barnas, Tracy Lea Hawkins, is a registered financial advisor currently at MWA FINANCIAL SERVICES INC. located in Springfield, Missouri.
Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Tracy has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tracy L Barnas | Tracy Lea Hawkins
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.
CRS (Client Relationship Summary) - RIA
Click below to view Tracy Lea Barnas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tracy Lea Barnas's 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®
NoneExperience
Current
October 3, 2024 - Present
MWA FINANCIAL SERVICES INC.
RIA
BD
CRD#: 112630
Springfield, MO
Current
September 26, 2024 - Present
MWA FINANCIAL SERVICES INC.
RIA
BD
CRD#: 112630
Springfield, MO
Past
May 9, 2016 - February 28, 2023
ARVEST WEALTH MANAGEMENT
RIA
CRD#: 42057
Springfield, MO
Past
May 9, 2016 - February 28, 2023
ARVEST WEALTH MANAGEMENT
BD
CRD#: 42057
Springfield, MO
Past
September 11, 2015 - April 19, 2016
UMB FINANCIAL SERVICES, INC.
RIA
CRD#: 17073
SPRINGFIELD, MO
Past
September 18, 2007 - April 19, 2016
UMB FINANCIAL SERVICES, INC.
BD
CRD#: 17073
SPRINGFIELD, MO
Past
October 17, 2000 - August 24, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
SPRINGFIELD, MO
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".
MF
MWA FINANCIAL SERVICES INC.
MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.
CRD#: 112630 / SEC#: 801-107091, 8-53255
RIA
Registered Investment Advisory firm - SEC (1/4/2016 Approved)Alabama
Registered Investment Advisory firm - SEC (4/11/2016 Terminated)Arizona
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)California
Registered Investment Advisory firm - SEC (1/3/2010 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (1/26/2016 Terminated)Georgia
Registered Investment Advisory firm - SEC (2/12/2016 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/1/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)Indiana
Registered Investment Advisory firm - SEC (1/29/2016 Terminated)Iowa
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (12/18/2013 Terminated)Maine
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/31/2015 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Michigan
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)Minnesota
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Mississippi
Registered Investment Advisory firm - SEC (12/13/2013 Terminated)Nebraska
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (12/12/2013 Terminated)South Dakota
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)Tennessee
Registered Investment Advisory firm - SEC (3/29/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (1/21/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Kansas(2/19/2025)
RR
Missouri(9/27/2024)
IAR
Missouri(10/3/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MF
MWA FINANCIAL SERVICES INC.
MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.
CRD#: 112630 / SEC#: 801-107091, 8-53255
RIA
Registered Investment Advisory firm - SEC (1/4/2016 Approved)Alabama
Registered Investment Advisory firm - SEC (4/11/2016 Terminated)Arizona
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)California
Registered Investment Advisory firm - SEC (1/3/2010 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (1/26/2016 Terminated)Georgia
Registered Investment Advisory firm - SEC (2/12/2016 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/1/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)Indiana
Registered Investment Advisory firm - SEC (1/29/2016 Terminated)Iowa
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (12/18/2013 Terminated)Maine
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/31/2015 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Michigan
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)Minnesota
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Mississippi
Registered Investment Advisory firm - SEC (12/13/2013 Terminated)Nebraska
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (12/12/2013 Terminated)South Dakota
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)Tennessee
Registered Investment Advisory firm - SEC (3/29/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (1/21/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1701 1st Avenue, Rock Island, IL 61201
Mailing Address
1701 1st Avenue, Rock Island, IL 61201
Phone number
(309) 558-3100
Established
Illinois since 02/02/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
674
SEC notice filing (49 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MODERN WOODMEN OF AMERICA | PARENT CO. | |
| BOHNERT, LESTER LEE | DIRECTOR | 6933862 |
| DOYLE, SHEA EUGENE | SECRETARY/DIRECTOR | 4577202 |
| EIGENBROD, NEIL THOMAS | FINOP | 5615693 |
| JENSEN, DAWN M | CHIEF OPERATIONS OFFICER | 4936560 |
| LYPHOUT, JERALD JAMES | DIRECTOR | 4148959 |
| POGEMILLER, CLINT JOSEPH | PRESIDENT/CHAIRMAN | 2977743 |
| RECH, KELLIE MARIE | CHIEF COMPLIANCE OFFICER | 4863283 |
| SIMMS, CHARLES EDMUND | DIRECTOR | 2553306 |
| SWANSON, TODD DAVID | TREASURER | 4844282 |
| VAN, BRETT MATTHEW | DIRECTOR | 6543047 |
Regulatory assets under management
| Total Number of Accounts | 2,298 |
| AUM (Assets Under Management) | $ 376,859,066 |
Disclosures
| Regulatory Event | 1 |
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.
