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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-08-15 |
Branch Locations
1801 Hermitage Blvd, Suite 170, Tallahassee, FL 32308 • United States
11215 N. Community House Rd. Ste. 775, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2018-12-10 |
| GA | RA | APPROVED | 2018-12-03 |
Branch Locations
1801 Hermitage Blvd. Suite 170, Tallahassee, FL 32308 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Self Employed | Tallahassee | FL | 09/1990 | Present |
| National Life Of Vermont | Montpelier | VT | 09/1990 | Present |
| Lucile C. Dodd Trust | Tallahassee | FL | 06/1995 | Present |
| Dog Island Ventures, Inc | Dog Island | FL | 09/2005 | 10/2016 |
| Big Bend Hospice Foundation | Tallahassee | FL | 10/2003 | 10/2016 |
| Allen & Mooney Investments | Thomasville | FL | 09/2005 | 10/2016 |
| Allen, Mooney & Barnes Brokerage Services | Thomasville | GA | 12/2006 | 10/2016 |
| Barnes Capital Group | Tallahassee | FL | 10/2014 | Present |
| Lpl Financial, Llc | Tallahassee | FL | 10/2016 | Present |
| Independent Financial Partners | Tallahassee | FL | 10/2016 | 11/2018 |
| Independent Advisor Alliance, Llc | Tallahassee | FL | 11/2018 | Present |
1.10/03/2016:Lucile Dodd Trust - Act in a Fiduciary Capacity--InvRel--3093 Peachtree Dr. NE, Atlanta, GA--Start 1988--1 Hr/Mo; 2% Time Spent--trustee, oversee investments, distributions, tax filing for Beatrice Dodd 2.10/03/2016:Barnes Capital Group--DBA for LPL Business (entity for LPL business)--InvRel--318 N. Calhoun St, Tallahassee, Fl 32301--Start 10/01/2014--150 Hr/Mo; 5 Hour(s) During Securities Trading; 100% Time Spent 3.10/03/2016:Barnes Holdings LLC--Business Entity For Tax/Investment Purposes Only--InvRel--318 N Calhoun St, Tallahassee, FL--Start 10/01/2014--100% Time Spent--Holdings is 9% owner of Barnes Benefit Consultants LLC and Barnes Capital Advisors LLC 4.10/03/2016:Westminster Retirement Community--Non-Profit Board Member--Not InvRel--At Reported Business Location(s)--Start 2008--1 Hr/Mo; 0 Hour(s) During Securities Trading; 1% Time Spent--board member 5.10/03/2016:Barnes Capital Advisors, LLC--Business Entity For Tax/Investment Purposes Only--InvRel--318 N Calhoun St--Start 10/1/2014--120 Hr/Mo; 6 Hour(s) During Securities Trading; 85% Time Spent 6.10/03/2016:Barnes Benefits Consultants, LLC--Non-Variable Insurance--InvRel--318 N Calhoun St, Tallahassee, FL 32301--Start 10/01/2014--120 Hr/Mo; 3 Hour(s) During Securities Trading; 50% Time Spent--life, disability, ltc, dental, vision 7.10/05/2016:Barnes Capital Group--RIA/DBA--DBA:(HYBRID) Barnes Capital Group--InvRel-- 318 N Calhoun St, Tallahassee, FL 32301--Start 10/01/2014--120 Hr/Mo; 6 Hour(s) During Securities Trading; 85% Time Spent--IAR 8.11/28/2018:Independent Advisor Alliance--IRegistered Investment Advisor Hybrid - Inv Rel - At Reported Business Location(s) --Started11/27/2018--160 Hours Per Month/8 Hours During Securities Trading--I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 11/28/2018. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 9.11/28/2018:Independent Advisor Alliance--DBA:(Hybrid) Barnes Capital Group--InvRel--At Reported Business Location(s)--RIA/DBA--Started11/27/2018--160 Hours Per Month/8 Hours During Securities Trading. You are approved based on the specific facts provided in this request. Since the RIA accommodates IARs not affiliated with LPL Financial, you are prohibited from using the RIA name to represent your LPL Financial securities business. 10.12/20/2018:Barnes Benefits Consultants--InvRel--AtReptBusLoc--RIA/DBA--Started11/27/2018--160 Hours Per Month/8 Hours During Securities Trading--I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 12/20/2018. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-05-04 |
| S63 | Uniform Securities Agent State Law Examination | 1991-09-24 |
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