John 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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-03-23
CA	RA	APPROVED	2017-11-29
HI	RA	APPROVED	2017-11-29
NM	RA	APPROVED	2017-11-29

TX RA
APPROVED_RES

Since 2021-03-23
CA RA
APPROVED

Since 2017-11-29
HI RA
APPROVED

Since 2017-11-29
NM RA
APPROVED

Since 2017-11-29

Branch Locations

Riverside, CA • 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

Organization	City	State	From	To
At Center Inc.	Los Angeles	CA	10/2009	Present
Unemployed	Los Angeles	CA	02/2002	Present
Lpl Financial Llc	Riverside	CA	11/2017	Present

10/2009 → Present

At Center Inc.

Los Angeles, CA
02/2002 → Present

Unemployed

Los Angeles, CA
11/2017 → Present

Lpl Financial Llc

Riverside, CA

Previous Registrations

2012-08-01 → 2017-11-29

National Planning Corporation

Riverside, CA

Woodland Hills, CA

Other Businesses

1. 11/29/2017 - TRILOGY FINANCIAL SERVICES INC - Investment Related - 26635 W AGOURA RD STE 101, CALABASAS CA 91302 - Non-Variable Insurance - Start Date 10/28/2011 - LTC, Term. 2. 3/9/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Real Estate Rental - Start Date - 05/01/2015 - 1 Hours Per Month/0 Hours During Securities Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-06-12
S63	Uniform Securities Agent State Law Examination	2011-10-28

S65 Uniform Investment Adviser Law Examination

2012-06-12
S63 Uniform Securities Agent State Law Examination

2011-10-28

View on SEC IAPD