Mclean A. Barnes
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.
Mclean Andrew Barnes, who also goes by Andrew Barnes, was a registered financial professional .
Mclean is a previously registered financial professional and started their career in finance in 2007. Mclean had worked at 5 firms and has passed the Series 66, Series 7TO, SIE 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
August 15, 2018 - August 21, 2020
ARIEL INVESTMENTS, LLC
July 14, 2018 - August 21, 2020
ARIEL DISTRIBUTORS, LLC
August 18, 2008 - March 8, 2010
HOVDE GROUP, LLC
November 26, 2007 - June 3, 2008
WELLS FARGO SECURITIES, LLC
September 12, 2007 - November 26, 2007
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
ARIEL INVESTMENTS, LLC
CRD#: 108211 / SEC#: 801-18767
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
Series 7TO
Date: 7/1/2024
General Securities Representative ExaminationCurrent Firm
ARIEL INVESTMENTS, LLC
CRD#: 108211 / SEC#: 801-18767
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 168 |
| AUM (Assets Under Management) | $ 12,369,706,772 |
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.
