BB
Benjamin S. Barnett
WMG FINANCIAL ADVISORS
Knoxville, TN 37932
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CRD#: 4683757
BB
Professional summary
Benjamin S Barnett, who also goes by Benjamin Slater Barnett, Benjamin Barnett, is a registered financial advisor currently at WMG FINANCIAL ADVISORS, LLC located in Knoxville, Tennessee.
Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Benjamin has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Benjamin Slater Barnett | Benjamin Barnett
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.
(dba) WMG FINANCIAL ADVISORS; Investment Related; 620 Mabry Hood Road, Ste 101, Knoxville, TN 37932; Financial and Investment Services; Financial Professional; Start Date 03/2019; Financial and Retirement Income planning services. >> (dba) WMG FINANCIAL SERVICES ; Investment Related; 620 Mabry Hood Road, Suite 101, Knoxville, TN 37932; Insurance Agent ; Start Date 03/2019; Sell Insurance Products; 10 hours per month during trading hours;10 hours per month outside of trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin S Barnett'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
March 4, 2019 - Present
WMG FINANCIAL ADVISORS, LLC
Office #1: 620 Mabry Hood Road Suite 101, Knoxville, TN 37932RIA
CRD#: 285824
Knoxville, TN
Past
March 1, 2019 - November 4, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
KNOXVILLE, TN
Past
October 10, 2013 - March 4, 2019
FIRST HORIZON ADVISORS, INC.
RIA
CRD#: 17117
KNOXVILLE, TN
Past
May 22, 2013 - October 10, 2013
FTB ADVISORS, INC.
RIA
CRD#: 143830
MEMPHIS, TN
Past
June 21, 2011 - March 4, 2019
FIRST HORIZON ADVISORS, INC.
BD
CRD#: 17117
KNOXVILLE, TN
Past
November 16, 2010 - June 2, 2011
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
CLEVELAND, TN
Past
August 1, 2003 - March 25, 2010
NEWEDGE SECURITIES, LLC
BD
CRD#: 10674
PANAMA CITY, FL
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".
WF
WMG FINANCIAL ADVISORS, LLC
DAVIS WEALTH PARTNERS | WMG FINANCIAL ADVISORS, LLC | LEGACY WEALTH MANAGEMENT | KAIZEN RETIREMENT PLAN CONSULTANTS, LLC
CRD#: 285824 / SEC#: 801-116718
RIA
Registered Investment Advisory firm - (6/4/2019 Approved)Florida
Registered Investment Advisory firm - (8/16/2019 Terminated)Georgia
Registered Investment Advisory firm - (8/23/2019 Terminated)Louisiana
Registered Investment Advisory firm - (8/19/2019 Terminated)Mississippi
Registered Investment Advisory firm - (8/16/2019 Terminated)Tennessee
Registered Investment Advisory firm - (8/19/2019 Terminated)Texas
Registered Investment Advisory firm - (8/16/2019 Terminated)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
Tennessee(3/4/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WF
WMG FINANCIAL ADVISORS, LLC
DAVIS WEALTH PARTNERS | WMG FINANCIAL ADVISORS, LLC | LEGACY WEALTH MANAGEMENT | KAIZEN RETIREMENT PLAN CONSULTANTS, LLC
CRD#: 285824 / SEC#: 801-116718
RIA
Registered Investment Advisory firm - (6/4/2019 Approved)Florida
Registered Investment Advisory firm - (8/16/2019 Terminated)Georgia
Registered Investment Advisory firm - (8/23/2019 Terminated)Louisiana
Registered Investment Advisory firm - (8/19/2019 Terminated)Mississippi
Registered Investment Advisory firm - (8/16/2019 Terminated)Tennessee
Registered Investment Advisory firm - (8/19/2019 Terminated)Texas
Registered Investment Advisory firm - (8/16/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
620 Mabry Hood Road Suite 101, Knoxville, TN 37932
Mailing Address
Phone number
(865) 290-4000
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,940 |
| AUM (Assets Under Management) | $ 614,890,081 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WMG FINANCIAL ADVISORS, LLC
CRD#: 285824Knoxville, TN 37932TRUST BUT VERIFY
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