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Justin L Barnes

CARTY, HARDING & HEARN
MEMPHIS, TN
·CRD# 6159403·13 years experience

Professional Summary

Justin L Barnes is a registered financial advisor currently at CARTY, HARDING & HEARN, INC. located in Memphis, Tennessee. Justin is registered as a RR (Registered Representative) and started their career in finance in 2013. Justin has worked at 1 firm and has passed the Series 63, SIE and Series 52 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Contact Information

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

13 years in the financial services industry

Current & Past Employments

CARTY, HARDING & HEARN, INC.·CRD# 7001
BD
6263 Poplar Avenue Suite 800, Memphis, TN 38119
August 15, 2013 - Present

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Current Firm

CH
CARTY, HARDING & HEARN, INC.

CARTY & COMPANY, INC. | CHH | CARTY, HARDING, & HEARN, INC. | CARTY, HARDING & HEARN, INC. | CARTY, HARDING & HEARN

CRD#: 7001 / SEC#: 8-19082
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Contact Information

Main Address

6263 Poplar Avenue Suite 800, Memphis, TN 38119

Mailing Address

P.o. Box 17527, Memphis, TN 38187-0527

Phone Number

(901) 767-8940

Established

Tennessee since 10/07/1970

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CARTY FINANCIAL CORPORATIONOWNER—
CARTY, BILLY RANDOLPHCO-CEO42297
CARTY, WILLIAM LAWRENCECO-CEO2356971
RUETTEN, ANGELA LYNNCFO—
SCOLA, JENNIFER CARTYCOO, CCO1720872
TUCKER, CLARK BOMARFINOP1977842

Disclosures

Regulatory Event

20

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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.

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Stacey Stephenson Hyde

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(2/25/2019)
RR
Arkansas
(1/14/2014)
RR
Colorado
(8/23/2018)
RR
Florida
(10/5/2015)
RR
Georgia
(1/14/2014)
RR
Michigan
(6/16/2026)
RR
Mississippi
(7/7/2015)
RR
New Mexico
(8/16/2013)
RR
New York
(11/9/2022)
RR
Tennessee
(8/15/2013)
RR
Texas
(8/16/2013)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2013About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 52 — Municipal Securities Representative Examination

Passed Jul 2013About the Series 52 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Justin L Barnes's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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