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Charles S. Barker

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CRD#: 816649
CB

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.

Charles Sanford Barker was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1975. Charles had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and PC exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

June 28, 2001 - January 4, 2021

TRUST ADVISORY GROUP LTD

RIA
CRD#: 106926
W Dennis, MA
Past

May 18, 2001 - January 6, 2021

AGES FINANCIAL SERVICES, LTD.

BD
CRD#: 15427
W DENNIS, MA
Past

July 11, 1999 - September 13, 1999

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

July 11, 1999 - September 13, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

September 11, 1990 - March 28, 1991

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
PORTLAND, ME
Past

December 28, 1984 - November 6, 1989

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

June 15, 1979 - January 4, 1985

MOSELEY SECURITIES CORPORATION

BD
CRD#: 7908
Past

September 26, 1978 - July 27, 1979

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

December 24, 1975 - May 23, 1980

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BD
CRD#: 572

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TA
TRUST ADVISORY GROUP LTD
ADVANTAGE WEALTH SOLUTIONS | TRUST ADVISORY GROUP LTD | STONEX WEALTH MANAGEMENT | STARR INVESTMENT SERVICES INC. | SOLARES HILL ADVISORS | RHK CAPITAL | RETIREMENT INCOME ADVISORS | PRIMARY WEALTH CARE PROVIDERS, LLC | PARAMOUNT FINANCIAL GROUP | ORION WEALTH ADVISORS | NEW ENGLAND TRUST SERVICES | MORRISTOWN CAPITAL ASSOCIATES LLC | MDS FINANCIAL | LIFE PATH FINANCIAL SERVICES | INVESTMENT SECURITIES GROUP | GIPSON-FITZPATRICK INVESTMENT MANGEMENT | CREATIVE WEALTH ADVISORS | COROMANDEL WEALTH MANAGEMENT | CINDRICH FINANCIAL SERVICES

CRD#: 106926 / SEC#: 801-46919

RIA
Registered Investment Advisory firm - (7/25/1994 Approved)

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: 10/6/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/2/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 5/5/1987
National Commodity Futures Examination
General Industry/Product Exam
RR
PC
Date: 9/8/1977
AMEX Put and Call Exam

Current Firm

TA
TRUST ADVISORY GROUP LTD
ADVANTAGE WEALTH SOLUTIONS | TRUST ADVISORY GROUP LTD | STONEX WEALTH MANAGEMENT | STARR INVESTMENT SERVICES INC. | SOLARES HILL ADVISORS | RHK CAPITAL | RETIREMENT INCOME ADVISORS | PRIMARY WEALTH CARE PROVIDERS, LLC | PARAMOUNT FINANCIAL GROUP | ORION WEALTH ADVISORS | NEW ENGLAND TRUST SERVICES | MORRISTOWN CAPITAL ASSOCIATES LLC | MDS FINANCIAL | LIFE PATH FINANCIAL SERVICES | INVESTMENT SECURITIES GROUP | GIPSON-FITZPATRICK INVESTMENT MANGEMENT | CREATIVE WEALTH ADVISORS | COROMANDEL WEALTH MANAGEMENT | CINDRICH FINANCIAL SERVICES

CRD#: 106926 / SEC#: 801-46919

RIA
Registered Investment Advisory firm - (7/25/1994 Approved)
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Contact information

Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
Phone number
(800) 292-2411
Established
Firm type
Fiscal year end
# of Employees
30

SEC notice filing (34 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TAG ADV2A 072825 (7/29/2025)

Regulatory assets under management

Total Number of Accounts1,720
AUM (Assets Under Management)$ 494,407,359

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

TRUST ADVISORY GROUP LTD

CRD#: 106926

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