Brock Brandon 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:

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

Current Employers

Employment History

• 08/2006 → Present
  Lpl Financial, Llc
  Lubbock, TX

Previous Registrations

• 2004-01-01 → 2004-11-11
  Cetera Advisors Llc
  Lubbock, TX
• 2000-06-20 → 2004-01-01
  Ifg Advisory Services Inc
  Lubbock, TX

Other Businesses

1. 11/05/2013: Antioch Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) 2. 7/24/2019 - Antioch Holdings LLC - Investment Related - 4906 Lakeridge Dr. Ste. 1&2 Lubbock, TX 79424 - Real Estate Rental - Started 04/01/2015 - 1 Hour Per Month/0 Hours During Securities Trading. 3. 03/06/2024 - Brock Barnes Performance Training - Other - Executive Coaching - Leadership Trainer - Investment Related - At Reported Business Location(s) - Start Date 01/01/2015 - 60 Hours Per Month/ 20 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-03-30
• S63 Uniform Securities Agent State Law Examination
  1999-02-11