John E. Barnes
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.
John Edward Barnes, who also goes by Jay Barnes, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1977. John had worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2013 - December 31, 2020
BARNES, JOHN E., REGISTERED INVESTMENT ADVISOR, LLC
August 2, 2010 - February 28, 2013
LEONARD INVESTMENT ADVISORS INC.
July 12, 2010 - February 28, 2013
LEONARD SECURITIES, INC
June 22, 2007 - May 24, 2010
CULLUM & BURKS SECURITIES, INC.
June 22, 2007 - May 24, 2010
CULLUM & BURKS SECURITIES, INC.
October 4, 2001 - June 7, 2007
AMERITAS INVESTMENT COMPANY, LLC
October 4, 2001 - June 7, 2007
AMERITAS INVESTMENT COMPANY, LLC
June 11, 1999 - October 10, 2001
1717 CAPITAL MANAGEMENT COMPANY
February 9, 1996 - April 23, 1999
JOHN HANCOCK DISTRIBUTORS LLC
March 22, 1993 - November 4, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 23, 1987 - July 26, 1989
ALLSTATE ASSURANCE COMPANY
April 3, 1987 - June 5, 1987
PTX SECURITIES, LLC
September 21, 1977 - January 10, 1983
WZW FINANCIAL SERVICES, INC.
April 6, 1977 - April 26, 1988
G. R. PHELPS & CO., 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 1
Date: 3/25/1977
Registered Representative ExaminationCurrent Firm
BARNES, JOHN E., REGISTERED INVESTMENT ADVISOR, LLC
CRD#: 144518 / SEC#:
Contact information
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.
