Joseph A. Barkley
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.
Joseph Amos Barkley, who also goes by Joe Barkley, Joseph Amos Barkley III, Joseph Barkley, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1977. Joseph had worked at 12 firms and has passed the Series 63, SIE, Series 62 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
December 2, 2014 - March 30, 2015
PRINCIPAL SECURITIES, INC.
June 25, 2007 - July 2, 2014
ALLSTATE FINANCIAL SERVICES, LLC
October 12, 2006 - May 22, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 25, 1999 - March 24, 2005
HORNOR, TOWNSEND & KENT, LLC
April 1, 1998 - January 26, 1999
WALNUT STREET SECURITIES, INC.
August 3, 1994 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 3, 1994 - April 6, 1998
SIGNATOR INVESTORS, INC.
October 15, 1993 - July 27, 1994
VOYA FINANCIAL PARTNERS, LLC
July 28, 1992 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
June 11, 1991 - June 26, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 11, 1991 - June 26, 1992
PRUCO SECURITIES, LLC.
April 18, 1977 - February 26, 1991
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
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 62
Date: 10/7/1988
Corporate Securities Limited Representative ExaminationSeries 1
Date: 4/11/1977
Registered Representative ExaminationCurrent Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
