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RB

Richard A. Barnett

Some features on this profile are disabled
CRD#: 5743054
RB

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.

Richard Aaron Barnett, who also goes by Richard A Barnett, Richard Barnett, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2010. Richard had worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard A Barnett | Richard Barnett

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.
The advisor shows no other business activity.

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

October 8, 2010 - April 25, 2013

STONEGATE CAPITAL MARKETS, INC.

BD
CRD#: 6376
DALLAS, TX
Past

June 7, 2010 - September 29, 2010

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
PLANO, TX
Past

March 11, 2010 - September 29, 2010

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
PLANO, TX

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: 5/30/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/9/2010
General Securities Representative Examination

Current Firm

SC
STONEGATE CAPITAL MARKETS, INC.
SRG CAPITAL PARTNERS, LLC | STONEGATE SECURITIES, INC. | STONEGATE CAPITAL PARTNERS, INC. | STONEGATE CAPITAL MARKETS, INC.

CRD#: 6376 / SEC#: , 8-17359

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
PREMIUM
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Contact information

Main Address
500 Crescent Court Suite 370, Dallas, TX 75201
Mailing Address
500 Crescent Court Suite 370, Dallas, TX 75201
Phone number
(214) 987-4121
Established
Texas since 10/16/1972
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GRIFFITH SHELMIRE PARTNERS, INC.SHAREHOLDER
AMREIN, ZACHARY MCDONALDCCO/FINOP/CFO/PFO/POO7263467
GRIFFITH, SCOTT RANDYNPRESIDENT873111
SHELMIRE, JESSE BEDFORD IVSECRETARY, TREASURER1008550

Disclosures

Regulatory Event2

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

STONEGATE CAPITAL MARKETS, INC.

CRD#: 6376

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