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RB

Richard W. Barnard

Some features on this profile are disabled
CRD#: 831268
RB

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.

Richard Warfield Barnard was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1977. Richard had worked at 8 firms and has passed the Series 65, Series 63, SIE, PC, Series 7 and Series 24 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.
1) Barnard Investment Management, Inc. Address: Savannah, GA Nature of the Business: Support Company/DBA (Owner) Position/Title: Support Company/DBA (Owner) Investment Related: No Start Date: 06/1996 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Branch Manager.

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

January 2, 2009 - January 25, 2023

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
Bluffton, SC
Past

March 16, 1999 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
RIVERSIDE, IL
Past

January 4, 1999 - January 25, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
RIVERSIDE, IL
Past

March 11, 1996 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

February 12, 1988 - March 4, 1996

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 25, 1981 - February 26, 1988

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

July 11, 1979 - September 11, 1981

BACON, WHIPPLE & CO.

BD
CRD#: 67
Past

July 13, 1978 - August 2, 1979

BECKER PARIBAS INCORPORATED

BD
CRD#: 7635
Past

January 3, 1977 - July 13, 1978

BECKER SECURITIES INCORPORATED

BD
CRD#: 6796

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".
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 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: 12/18/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/21/1983
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
PC
Date: 9/2/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 7
Date: 12/18/1976
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/4/1996
General Securities Principal Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)
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Contact information

Main Address
880 Carillon Parkway, Saint Petersburg, FL 33716
Mailing Address
Phone number
(727) 567-3020
Established
Firm type
Fiscal year end
# of Employees
6,727

SEC notice filing (53 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

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts1,030,208
AUM (Assets Under Management)$ 344,868,106,925

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/12/2025
Cover Page
Report
08/21/2024
Cover Page
Report
09/27/2023
Cover Page
Report

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

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Financial AdvisorCRD#: 149018

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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