John F. 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 Frederick Barnes was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1978. John had worked at 9 firms and has passed the Series 66, Series 63, 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 13, 2007 - April 26, 2012
MORGAN KEEGAN & COMPANY, LLC
February 13, 2007 - April 26, 2012
MORGAN KEEGAN & COMPANY, LLC
July 10, 2003 - February 20, 2007
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
January 30, 2003 - July 16, 2003
AMSOUTH INVESTMENT SERVICES, INC.
February 14, 2000 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
July 2, 1998 - February 14, 2000
INVEST FINANCIAL CORPORATION
March 21, 1993 - July 8, 1998
DEPOSIT GUARANTY INVESTMENTS, INC.
March 18, 1992 - March 24, 1993
FINANCIAL SERVICES INVESTMENT AFFILIATE, INC.
July 14, 1980 - March 19, 1992
A. G. EDWARDS & SONS, INC.
September 26, 1978 - August 11, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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: 5/18/1982
Interest Rate Options ExaminationCurrent Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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