James H. Barnhart
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.
James Headen Barnhart Jr., who also goes by James H. Barnhart Jr., Skip Barnhart, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1980. James had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2019 - July 23, 2021
WESTERN INTERNATIONAL SECURITIES, INC.
February 20, 2019 - July 23, 2021
WESTERN INTERNATIONAL SECURITIES, INC.
May 11, 2018 - December 12, 2018
KMS FINANCIAL SERVICES, INC.
April 20, 2018 - April 23, 2018
KMS FINANCIAL SERVICES, INC.
April 20, 2018 - December 12, 2018
KMS FINANCIAL SERVICES, INC.
July 1, 2011 - April 6, 2018
INDEPENDENT FINANCIAL GROUP, LLC
July 1, 2011 - April 6, 2018
INDEPENDENT FINANCIAL GROUP, LLC
July 8, 1997 - July 6, 2011
FINANCIAL WEST GROUP
April 30, 1991 - July 6, 2011
FINANCIAL WEST GROUP
April 18, 1990 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
March 9, 1989 - April 10, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
February 15, 1980 - March 4, 1989
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/9/1981
Interest Rate Options ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
