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KH

Kathryn B. Hodges

Some features on this profile are disabled
CRD#: 5521626
KH

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.

Kathryn Brookshire Hodges, who also goes by Kathryn Brookshire Barnes, Brook Hodges, was a registered financial professional .

Kathryn is a previously registered financial professional and started their career in finance in 2016. Kathryn had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kathryn Brookshire Barnes | Brook Hodges

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)Name of Business: Barnes Pettey Financial Advisors, LLC Address: 2153 S Lamar Blvd Ste 200, Oxford, MS, 38655-5223, United States Activity Type: Independent RIA Position/Title: Associate/Employee Investment Related: Yes Start Date: 01/20/2017 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Work with Dudley and clients on Financial planning, client services and communication, reporting (2)Name of Business: Barnes Pettey Financial Advisors, LLC Address: 252 Sunflower Ave, Clarksdale, MS, 38614-4221, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 01/20/2017 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41-80 Description of duties: Worked with Dudley Barnes assisting his clients with Financial and retirement planning, communication and reporting

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 6, 2017 - February 11, 2025

BARNES PETTEY FINANCIAL ADVISORS, LLC

RIA
CRD#: 142944
Franklin, TN
Past

November 19, 2016 - February 4, 2025

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
OXFORD, MS

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".
BP
BARNES PETTEY FINANCIAL ADVISORS, LLC
BARNES PETTEY FINANCIAL ADVISORS, LLC

CRD#: 142944 / SEC#: 801-67555

RIA
Registered Investment Advisory firm - (1/3/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/22/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/2016
General Securities Representative Examination

Current Firm

BP
BARNES PETTEY FINANCIAL ADVISORS, LLC
BARNES PETTEY FINANCIAL ADVISORS, LLC

CRD#: 142944 / SEC#: 801-67555

RIA
Registered Investment Advisory firm - (1/3/2007 Approved)
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Contact information

Main Address
252 Sunflower Avenue, Clarksdale, MS 38614
Mailing Address
P.o. Box 1234, Clarksdale, MS 38614
Phone number
(662) 627-2225
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BARNES PETTEY FINANCIAL ADVISORS, LLC ADV BROCHURE (7/28/2025)

Regulatory assets under management

Total Number of Accounts2,720
AUM (Assets Under Management)$ 1,123,122,793

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

BARNES PETTEY FINANCIAL ADVISORS, LLC

CRD#: 142944

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