William Preston Barnes

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2006 → 04/2018
  Nfp Retirement
  Aliso Viejo, CA
• 07/2014 → 03/2018
  Nfp Securities, Inc
  Austin, TX
• 07/2014 → 04/2018
  Kestra Investment Services, Llc
  Aliso Viejo, CA
• 04/2018 → 06/2020
  Axa Advisors, Llc
  San Francisco, CA
• 04/2018 → 08/2021
  Equitable Advisors, Llc
  New York, NY
• 08/2021 → 08/2023
  Kestra Investment Services, Llc
  Laguna Niguel, CA
• 08/2021 → 08/2023
  Kestra Advisory Services, Llc
  Laguna Niguel, CA
• 08/2023 → Present
  Lpl Financial Llc
  Laguna Niguel, CA

Previous Registrations

• 2021-09-10 → 2023-08-14
  Kestra Advisory Services, Llc
  Austin, TX
  Laguna Niguel, CA
• 2018-05-01 → 2021-08-23
  Equitable Advisors, Llc
  San Francisco, CA
  Honolulu, HI
  Papaikou, HI
• 2006-06-15 → 2018-04-09
  Wealthspire Retirement Advisory
  Aliso Viejo, CA

Other Businesses

1- 08/2023 / AINOKEA INDUSTRIES LLC / Business Entity For Tax/Investment Purposes Only / Non Investment Related / start date 10/3/2022 2- 08/2023 / Personalized Insurance Solutions Inc / Insurance Agency / Investment Related / 1 HR MNTH / 0 Hrs Trading / start date 4/1/2019 3- 08/2023 / WATERMARK WEALTH STRATEGIES, LLC / DBA for LPL Business (entity for LPL business) / Investment Related / 160 HR Mnth / 8 HRS During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-06-13
• S63 Uniform Securities Agent State Law Examination
  1998-03-30

Other Names

• William Preston Barnes
• William Preston Barnes