Nathan R. 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.
Nathan Robert Barnes, who also goes by Nathan Robert Barnes, was a registered financial professional .
Nathan is a previously registered financial professional and started their career in finance in 2005. Nathan had worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2025 - June 16, 2025
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
June 14, 2024 - August 2, 2024
OSAIC WEALTH, INC.
May 24, 2024 - June 14, 2024
SECURITIES AMERICA, INC.
September 14, 2020 - May 10, 2024
LION STREET FINANCIAL, LLC
September 15, 2010 - September 8, 2020
SAYBRUS EQUITY SERVICES, LLC
February 4, 2009 - September 15, 2010
AXCELUS FINANCIAL DISTRIBUTION COMPANY
August 4, 2008 - February 4, 2009
VP DISTRIBUTORS LLC
September 27, 2007 - June 27, 2008
WELLS FARGO CLEARING SERVICES, LLC
September 27, 2007 - June 27, 2008
WELLS FARGO CLEARING SERVICES, LLC
May 9, 2006 - May 11, 2007
EQUITABLE ADVISORS, LLC
December 15, 2005 - May 11, 2007
EQUITABLE ADVISORS, LLC
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
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SHAREHOLDER COMMON | |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| HARTNETT, CHRISTINA A | CHIEF OPERATING OFFICER | 2672099 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| SMIT, ROBERT PHILIP | FINOP, CFO | 2332366 |
| THOMSEN, JORDAN K | CHIEF LEGAL OFFICER AND SECRETARY | 2821664 |
Disclosures
| Regulatory Event | 2 |
| Civil 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.
