Claudia H. Barkmeier

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CRD#: 703763

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.

Claudia Henry Barkmeier, CFP®, who also goes by Claudia E Henry, was a registered financial professional .

Claudia is a previously registered financial professional and started their career in finance in 1980. Claudia had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Education Planning

Retirement Planning

Comprehensive Financial Planni...

Estate Planning

Investment Planning

Are you a "fiduciary"?

Aliases

Claudia E Henry

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 AGENT; INV. RELATED; LOUISVILLE, CO; INSURANCE; AGENT; START 8/1980; NUMBER OF HOURS PER MONTH, INCLUDING DURING SECURITIES TRADING HOURS, DEPENDENT ON CLIENT NEED; SERVICING CLIENT POLICIES. 2. ODIN PROPERTIES LLC, INV RELATED, BOULDER, CO, 40.5% OWNER, START 1/1/2018, 1 HOUR PER MONTH/1 DURING TRADING, DUTIES: GENERAL MANAGEMENT OF OFFICE CONDO. 3. TRUSTEE FOR BARMEIER FINANCIAL CONSULTING GROUP 401K, INV RELATED, BOULDER, CO, START 1/1/2017, 2 HRS/MONTH, 0 HRS DURING TRADING, FINET PRACTICE 401K. 4. GUIDE DOGS FOR THE BLIND; INV. RELATED; SAN RAFAEL,CA; BOARD MEMBER; START 7/1/2021; NUMBER OF HOURS PER MONTH 10; NUMBER OF HOURS DURING TRADING 0; REVIEW THE BUDGET, FINANCIAL HEALTH OF THE ORGANIZATION,REVIEW THE PORTFOLIO WITH THE GUIDANCE OF THE OUTSIDE MONEY MANAGERS, REVIEW THE PERFORMANCE OF THE 403b, AND LISTEN TO PRESENTATIONS FROM THE OUTSIDE MONEY MANAGERS. 5. GUIDE DOGS FOR THE BLINE, INV RELATED, SAN RAFAEL, CA, FINANCE COMMITTEE MEMBER, START 8/30/2022, 3 HOURS PER MONTH, ZERO HOURS DURING TRADING, REVIEWING AND FORMULATING THE BUDGET. 6. Gainline Financial Partners. Investment Related. At Registered Location. RIA. IAR/Financial Advisor. 6/2023. 180 hours/month with 165 during trading hours. Ownership duties, management of firm, client relationship management, financial planning. 7. PKS FINANCIAL, INV RELATED, BOULDER , CO, AGENT, 6/2023, 5, 5, SELLING FIXED INSURANCE

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®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Past

June 23, 2023 - April 2, 2025

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Louisville, CO

Past

June 5, 2023 - March 28, 2025

GAINLINE FINANCIAL PARTNERS, LLC

RIA

CRD#: 326716

LOUISVILLE, CO

Past

April 29, 2016 - June 12, 2023

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

BOULDER, CO

Past

April 29, 2016 - June 12, 2023

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

BOULDER, CO

Past

June 1, 2009 - May 13, 2016

MORGAN STANLEY

RIA

CRD#: 149777

BOULDER, CO

Past

June 1, 2009 - May 13, 2016

MORGAN STANLEY

CRD#: 149777

BOULDER, CO

Past

March 7, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BOULDER, CO

Past

March 7, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

BOULDER, CO

Past

June 23, 1999 - March 12, 2008

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

BOULDER, CO

Past

October 27, 1998 - March 12, 2008

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

BOULDER, CO

Past

October 11, 1991 - October 29, 1998

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

September 9, 1983 - October 16, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 19, 1980 - September 9, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

IAR

Series 65

Date: 1/28/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/5/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/28/1990

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/19/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/5/2017

General Securities Principal Examination

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

80 State Street, Albany, NY 12207

Mailing Address

80 State Street, Albany, NY 12207

Phone number

(518) 436-3536

Established

New York since 12/16/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PKS HOLDINGS, LLC	HOLDING CO.
BOHLEY, TRACEY LEA	CHIEF FINANCIAL OFFICER	4826937
FLOUTON, KATHERINE MARIE	PRESIDENT	4405001
KVAM, PETER DAVID	CHIEF COMPLIANCE OFFICER	4301918
MOTTA, CHRISTOPHER JOHN	COO	2741133
PURCELL, JOHN PETER	C.E.O.	1664678

Disclosures

Regulatory Event	11
Arbitration	2

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Claudia H. Barkmeier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GAINLINE FINANCIAL PARTNERS, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

PIPER SANDLER & CO.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 1/28/1999

Series 63

Date: 10/5/1984

SIE

Date: 10/1/2018

Series 3

Date: 8/28/1990

Series 7

Date: 1/19/1980

Series 24

Date: 6/5/2017

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

TRUST BUT VERIFY

Contact information

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