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Brian P Barnes

Principal Advised Services

Charlotte, NC

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Current Employers
Principal Advised Services

655 9Th Street, Des Moines, IA 50309 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2024-04-04
NC RA APPROVED 2023-02-15
  • IA RA
    APPROVED
    Since 2024-04-04
  • NC RA
    APPROVED
    Since 2023-02-15

Branch Locations

401 Mccullough Dr Ste 200, Charlotte, NC 28031 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Vanguard Group, Inc. Charlotte NC 12/2007 09/2016
Wells Fargo Advisors Charlotte NC 09/2016 11/2016
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 07/2021
Robinhood Financial, Llc Charlotte NC 07/2021 08/2022
Robinhood Markets, Inc Charlotte NC 06/2022 08/2022
Principal Advised Services Charlotte NC 08/2022 Present
Principal Securities Inc Charlotte NC 03/2023 Present
Principal Life Insurance Charlotte NC 03/2023 Present
  • 12/2007 → 09/2016
    The Vanguard Group, Inc.
    Charlotte, NC
  • 09/2016 → 11/2016
    Wells Fargo Advisors
    Charlotte, NC
  • 11/2016 → 07/2021
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
  • 07/2021 → 08/2022
    Robinhood Financial, Llc
    Charlotte, NC
  • 06/2022 → 08/2022
    Robinhood Markets, Inc
    Charlotte, NC
  • 08/2022 → Present
    Principal Advised Services
    Charlotte, NC
  • 03/2023 → Present
    Principal Securities Inc
    Charlotte, NC
  • 03/2023 → Present
    Principal Life Insurance
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-02-15
S63 Uniform Securities Agent State Law Examination 2008-01-22
  • S65 Uniform Investment Adviser Law Examination
    2023-02-15
  • S63 Uniform Securities Agent State Law Examination
    2008-01-22
Other Names
  • Brian Patrick Barnes
  • Brian P Barnes
  • Brian Barnes

View on SEC IAPD

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Other Investors

JOSHUA REESE BAILEY
PHILIP REESE BAILEY
MICHELE V STUTTS
BRANDON RICHARD PHILLIPS
BERT DEEMS MAY
LEILA TARATUS EVANS
Lindie Rheeder
Emily Ruth Johnson

Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC
MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC
ARKADIOS WEALTH ADVISORS · Charlotte, NC
MODERA WEALTH MANAGEMENT, LLC · CHARLOTTE, NC
TLG ADVISORS, INC. · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC

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