James T. Barker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Thomas Barker, who also goes by James T Barker, James Barker, Jim Barker, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2003. James had worked at 7 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2008 - May 16, 2008
BARKER WEALTH MANAGEMENT, INC.
April 7, 2008 - September 29, 2014
ALLSTATE FINANCIAL SERVICES, LLC
November 13, 2007 - April 10, 2008
MM ASCEND LIFE INVESTOR SERVICES, LLC
November 8, 2007 - April 10, 2008
MM ASCEND LIFE INVESTOR SERVICES, LLC
June 28, 2006 - November 15, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
June 28, 2006 - November 15, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
May 19, 2005 - March 31, 2006
UBS FINANCIAL SERVICES INC.
May 19, 2005 - March 31, 2006
UBS FINANCIAL SERVICES INC.
June 5, 2003 - May 13, 2005
OSAIC FA, INC.
April 3, 2003 - May 13, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 3, 2003 - May 13, 2005
OSAIC FA, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current firm
No current employment
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.
