Dustin Lee Barker

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Contact Information

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Disclosures on record.

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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Years of Experience

20 years registered in the securities industry

Current & Past Employments

Current

OSAIC INSTITUTIONS, INC.Current·CRD# 35371

RIA

BD

15330 Wolf Creek Parkway, Suite 100, Basehor, KS 66007

December 2, 2019 - Present

OSAIC INSTITUTIONS, INC.Current·CRD# 35371

RIA

BD

15330 Wolf Creek Parkway, Suite 100, Basehor, KS 66007

December 2, 2019 - Present

Past

CETERA INVESTMENT ADVISERS LLCPast·CRD# 105644

RIA

Basehor, KS

January 22, 2016 - December 2, 2019

CETERA INVESTMENT SERVICES LLCPast·CRD# 15340

BD

Basehor, KS

January 11, 2016 - December 2, 2019

PRAIRIE CAPITAL MANAGEMENT, LLCPast·CRD# 153588

RIA

Kansas City, MO

August 5, 2010 - November 1, 2016

UMB FINANCIAL SERVICES, INC.Past·CRD# 17073

BD

Kansas City, MO

August 5, 2010 - January 25, 2016

PRAIRIE CAPITAL MANAGEMENT LLCPast·CRD# 145542

RIA

Kansas City, MO

January 2, 2008 - August 2, 2010

GEORGE K. BAUM & COMPANYPast·CRD# 36354

BD

Kansas City, MO

August 9, 2006 - August 2, 2010

PRAIRIE CAPITAL MANAGEMENT INCPast·CRD# 106353

RIA

Kansas City, MO

September 12, 2006 - December 31, 2007

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Current Firm

OI

OSAIC INSTITUTIONS, INC.

CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.

CRD#: 35371 / SEC#: 801-67242, 8-46661

RIA

Registered Investment Advisory firm - SEC (11/2/2006 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Maine

Registered Investment Advisory firm - SEC (12/7/2006 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (3/23/2007 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Ohio

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

538 Preston Avenue, Meriden, CT 06450-4858

Mailing Address

538 Preston Avenue, Meriden, CT 06450-4858

Phone Number

(203) 599-6000

Established

Connecticut since 04/07/1993

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Large

# of Employees

1,839

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV 2A (3/31/2026)

ADV WRAP APPENDIX - AMP (3/31/2026)

ADV WRAP APPENDIX - ADVISOR MANAGED (LEGACY USE ONLY) (3/31/2026)

ADV WRAP APPENDIX - WEALTHSELECT (LEGACY USE ONLY) (3/31/2026)

ADV WRAP APPENDIX - UMA (3/31/2026)

Direct owners and executive officers

Name	Position	CRD#
OSAIC INSTITUTIONS HOLDINGS, INC.	HOLDING COMPANY	—
AMARANTE, STEPHEN PAUL	PRESIDENT, CEO AND DIRECTOR	3165067
HAMMOND, DORI JAMILLE	CHIEF COMPLIANCE OFFICER	3259012
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
REID, SHANNON	DIRECTOR	4815189
SCHLUETER, MATTHEW ADAM	DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS	2627931

Regulatory Assets Under Management

Total Number of Accounts

11,892

AUM (Assets Under Management)

$6,494,001,878

Disclosures

Regulatory Event

9

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

1.)FIRST STATE BANK AND TRUST; BUSINESS DEVELOPMENT, PRODUCT DEVELOPMENT, INVESTMENT RESEARCH AND ANALYSIS, TRUST ACCT ADMIN, OPERATIONAL OVERSIGHT; NOT SECURITIES RELATED. Also; TRUST DEPT ROLE-BUSINESS DEVELOPMENT, RESEARCH, ADMINISTRATION AND OPERATION OVERSIGHT. Started in January 2016. Approx 160 hours per month. Approximately 136 hours during trading hours.

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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".

OI

OSAIC INSTITUTIONS, INC.

CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.

CRD#: 35371 / SEC#: 801-67242, 8-46661

RIA

Registered Investment Advisory firm - SEC (11/2/2006 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Maine

Registered Investment Advisory firm - SEC (12/7/2006 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (3/23/2007 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Ohio

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

California
(8/6/2026)

RR

Florida
(9/25/2026)

RR

Iowa
(4/14/2025)

RR

Kansas
(12/2/2019)

IAR

Kansas
(12/2/2019)

RR

Missouri
(12/2/2019)

RR

Oklahoma
(8/6/2026)

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.Note:This rule does not apply to broker-dealer activity.