DB
David R. Barnes
USA FINANCIAL SECURITIES LLC
JASPER, AL 35504
Some features on this profile are disabled
CRD#: 5232710
DB
Professional summary
David Randall Barnes, who also goes by David Barnes, Randy Barnes, is a registered financial advisor currently at USA FINANCIAL SECURITIES LLC located in Jasper, Alabama.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. David has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Barnes | Randy Barnes
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.
1) INSURANCE AND INVESTMENT CONSULTANTS, INC - 450B CENTURY PARK SOUTH, SUITE 104, BIRMINGHAM, AL 35226. START DATE 06/01/2003. PRESIDENT. LIFE AND HEALTH INSURANCE. SERVICING AND SELLING LIFE INSURANCE AND ANNUITIES CONTRACTS. INVESTMENT RELATED. 60 HOURS PER MONTH DEVOTED TO BUSINESS. 60 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS. 2) ONE STOP VENDING - 2104 DEER RUN, JASPER, AL 35504. START DATE 09/01/2008. OWNER. VENDING BUSINESS. SERVICING VENDING MACHINES. NOT INVESTMENT RELATED. 12 HOURS PER MONTH DEVOTED TO BUSINESS. 6 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS. 3) FIRST BAPTIST CHURCH - 3965 MASSACHUSETTS AVENUE NORTH, CORDOVA, AL 35550. STARTED 07/01/2016. WORSHIP AND MISSIONS PASTOR. NOT INVESTMENT RELATED. 75 HOURS PER MONTH DEVOTED TO BUSINESS. 12 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS. 4) NOTARY PUBLIC - 450B CENTURY PARK SOUTH SUITE 104. START DATE 01/01/2018. NOTARIZE SIGNATURES ON DOCUMENTS. NOT INVESTMENT RELATED. 1 HOUR DEVOTED PER MONTH DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view David Randall Barnes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Randall Barnes'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
February 25, 2015 - Present
USA FINANCIAL SECURITIES LLC
Office #1: 2104 Deer Run, Jasper, AL 35504Office #2: 450b Century Park South Suite 104, Birmingham, AL 35226RIA
BD
CRD#: 103857
JASPER, AL
Current
February 25, 2015 - Present
USA FINANCIAL SECURITIES LLC
Office #1: 450b Century Park South Suite 104, Birmingham, AL 35226RIA
BD
CRD#: 103857
Birmingham, AL
Past
August 29, 2011 - March 6, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
BIRMINGHAM, AL
Past
August 25, 2011 - March 6, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
February 2, 2010 - August 18, 2011
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
BIRMINGHAM, AL
Past
April 17, 2007 - February 1, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
BIRMINGHAM, AL
Past
October 27, 2006 - February 1, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
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".
UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT
CRD#: 103857 / SEC#: 801-68276, 8-52342
RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/25/2015)
IAR
Alabama(2/25/2015)
RR
Florida(2/25/2015)
RR
Georgia(4/26/2022)
IAR
Georgia(4/27/2022)
RR
Kentucky(2/25/2015)
IAR
Kentucky(6/15/2015)
RR
Louisiana(10/27/2017)
IAR
Louisiana(10/30/2017)
IAR
Mississippi(4/26/2016)
RR
North Carolina(2/25/2015)
RR
Pennsylvania(3/26/2024)
IAR
Pennsylvania(9/4/2025)
RR
Tennessee(2/25/2015)
IAR
Texas(4/15/2019)
RR
Texas(7/20/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT
CRD#: 103857 / SEC#: 801-68276, 8-52342
RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
6020 East Fulton, Ada, MI 49301
Mailing Address
6020 East Fulton, Ada, MI 49301
Phone number
(888) 407-8198
Established
Delaware since 07/03/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
166
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USA FINANCIAL LLC | OWNER | |
| BACHERT, WILLIAM CLAYTON | CHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL (PRIMARY)/MUNICIPAL PRINCIPAL/DIRECTOR | 4576698 |
| ENDERS, BRENT DAVID | PRESIDENT/DIRECTOR/TRUSTEE OF BRENT D. ENDERS TRUST U/A DTD 06/17/2004 | 2858719 |
| MCCONNELL, JAMES CARROLL JR | CHIEF OPERATIONS OFFICER | 4679140 |
| MERSMAN, MARK ROBERT | CHIEF MARKETING OFFICER | 4702400 |
| THOMASON, DAWN M | CHIEF COMPLIANCE OFFICER | 5275125 |
| WALTERS, MICHAEL DAVID | CHAIRMAN OF THE BOARD/CHIEF EXECUTIVE OFFICER/DIRECTOR/TRUSTEE OF THE MICHAEL D. WALTERS TRUST U/A DTD 3/13/1996 | 2580592 |
Regulatory assets under management
| Total Number of Accounts | 1,750 |
| AUM (Assets Under Management) | $ 301,510,438 |
Disclosures
| Regulatory Event | 4 |
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.
Company Information
USA FINANCIAL SECURITIES LLC
CRD#: 103857Jasper, AL 35504TRUST BUT VERIFY
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