Tom Earl Barnes

Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2021-04-02
KY	RA	APPROVED	2021-03-05
TX	RA	APPROVED	2021-03-05

AZ RA
APPROVED

Since 2021-04-02
KY RA
APPROVED

Since 2021-03-05
TX RA
APPROVED

Since 2021-03-05

Branch Locations

Phoenix, AZ • United States

4969 Us Highway 42 Suite 1200, Louisville, KY 40222 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Louisville	KY	11/2010	11/2016
Wells Fargo Clearing Services, Llc	Louisville	KY	11/2016	03/2021
Morgan Stanley Smith Barney Llc	Louisville	KY	03/2021	Present
Morgan Stanley Private Bank, N.A	New York	NY	06/2021	Present

11/2010 → 11/2016

Wells Fargo Advisors Llc

Louisville, KY
11/2016 → 03/2021

Wells Fargo Clearing Services, Llc

Louisville, KY
03/2021 → Present

Morgan Stanley Smith Barney Llc

Louisville, KY
06/2021 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Previous Registrations

2010-11-19 → 2021-03-15

Wells Fargo Clearing Services, Llc

Louisville, KY

Phoenix, AZ

Louisville, KY

Louisville, KY

Louisville, KY
2004-04-20 → 2010-11-23

J.J.B. Hilliard, W.L. Lyons, Llc

Louisville, KY

Louisville, KY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-11-06
S63	Uniform Securities Agent State Law Examination	1980-09-03

S65 Uniform Investment Adviser Law Examination

1999-11-06
S63 Uniform Securities Agent State Law Examination

1980-09-03

Other Names

Tom Barnes
Tom Barnes
Thomas Earl Barnes
Thomas Earl Barnes

View on SEC IAPD