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Harry Kosmo Barnes

CRD# 6841191·Registered 2018 - 2019
Previously Registered: Being a previously registered professional could mean that Harry 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.

Professional Summary

Harry Kosmo Barnes was a registered financial advisor. Harry was a previously registered financial professional and started their career in finance 2018 - 2019. Harry had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

8 years in the financial services industry

Current & Past Employments

THE PACIFIC GROUP·CRD# 297601
RIA
Fort Worth, TX
September 1, 2018 - October 1, 2019
EQUITABLE ADVISORS, LLC·CRD# 6627
RIA
Fort Worth, TX
July 18, 2018 - October 3, 2018
EQUITABLE ADVISORS, LLC·CRD# 6627
BD
Fort Worth, TX
March 9, 2018 - October 3, 2018

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Current Firm

TP
THE PACIFIC GROUP

PACIFIC ADVISORY CAPITAL GROUP, LLC | THE PACIFIC GROUP

CRD#: 297601 / SEC#: 801-113734
RIA
Registered Investment Advisory firm - SEC (12/26/2019 Terminated)
California
Registered Investment Advisory firm - California (8/12/2019 Approved)
Texas
Registered Investment Advisory firm - Texas (12/5/2019 Approved)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

Los Angeles, CA

Mailing Address

3003 West Olympic Boulevard Suite 106-550, Los Angeles, CA 90006-6511

Phone Number

(310) 807-0140

# of Employees

2

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

44

AUM (Assets Under Management)

$37,623,203

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

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

Series 66 — Uniform Combined State Law Examination

Passed Jul 2018About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Mar 2018About the Series 7 exam

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CRS (Client Relationship Summary)

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

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