Richard Brooks Barkley

Employer firm

Prime Capital Financial CRD 288712

$39.1B regulatory AUM 1,816 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 01/2012 → 01/2017
  Focused Fitness / Athletic Republic
  Boerne, TX
• 06/2017 → 04/2018
  Champion Group
  San Antonio, TX
• 05/2018 → 11/2018
  Securian Financial Services Inc
  St. Paul, MN
• 05/2018 → 11/2018
  Minnesota Life Insurance Co
  St. Paul, MN
• 05/2018 → 11/2018
  Symmetry Financial Solutions
  San Antonio, TX
• 01/2015 → 08/2017
  Ironwood Midstream
  San Antonio, TX
• 11/2018 → 11/2019
  Private Client Services
  Boerne, TX
• 11/2018 → Present
  Prime Capital Investment Advisors, Llc
  Overland Park, KS

Previous Registrations

• 2018-07-10 → 2018-11-09
  Securian Financial Services, Inc.
  San Antonio, TX

Other Businesses

1) BENCHMARK BUSINESS CONSULTING, NON-INVESTMENT RELATED, 117 TIMBER MOUNTAIN DRIVE, BOERNE, TX 78006, PREPARE BUSINESS VALUATIONS, PRESIDENT, 05-04-2020, 12 HOURS PER MONTH, 0 HOURS PER MONTH DURING TRADING HOURS 2)PCRM, LLC doing business as Prime Capital Risk Management, investment-related, 6201 College Blvd., Suite #150 Overland Park, KS 66211, fixed-insurance products, insurance agent, 02/2021, 10 hrs./mo. , 10 hrs., 10 hours during trading hours, sale and service of fixed-insurance products, including through non-affiliated Insurance Marketing Organizations (IMOs). 3) CHHSZ HOLDINGS, LLC, INVESTMENT-RELATED, 6201 COLLEGE BLVD SUITE #150, OVERLAND PARK, KS 66211, CHHSZ HOLDINGS, LLC IS A LIMITED LIABILITY COMPANY,"LLC" FORMED IN OCTOBER, 2019 UNDER THE LAWS OF THE STATE OF DELWARE. CHHSZ HOLDINGS, LLC IS THE SOLE OWNER OF PRIME CAPITAL INVESTMENT ADVISORS, LLC ("PCIA"), A FEDERALLY REGISTERED INVESTMENT ADVISER, MEMBER, <1 HOUR PER MONTH, <1 HOUR PER MONTH DURING TRADING HOURS, MEMBER PROVIDES PROFESSIONAL (INVESTMENT ADVISORY) SERVICES AS AN IAR OF PCIA.

Exams

• S66 Uniform Combined State Law Examination
  2018-06-29
• S63 Uniform Securities Agent State Law Examination
  2017-08-10