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Paul St patrick Barnes

Cetera Advisors LLC

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About Paul St patrick Barnes

Paul St Patrick Barnes has been in the financial services industry since 1991. Paul Barnes is currently registered with Cetera Advisors LLC. Paul St Patrick Barnes has experience in the following areas: securities, investment company products, and variable contracts. Paul St Patrick Barnes has offices in Coral Springs, Florida.

Firm Information

Paul Barnes is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Paul Barnes’s Registration & Firm History

FL

02/11/2011 - Present

Cetera Advisors LLC (CORAL SPRINGS FL)

FL

09/20/2004 - 02/11/2011

QA3 FINANCIAL CORP. (CORAL SPRINGS FL)

AZ

12/09/2002 - 09/16/2004

ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)

AZ

12/02/2002 - 12/03/2002

ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)

NY

04/13/1999 - 12/02/2002

PRIME CAPITAL SERVICES, INC. (POUGHKEEPSIE NY)

AZ

11/20/1995 - 06/15/1999

ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)

NA

08/01/1994 - 11/06/1995

CHEMICAL INVESTMENT SERVICES CORP.

NY

11/09/1993 - 08/01/1994

LIBERTY SECURITIES CORPORATION (PURCHASE NY)

NY

07/14/1992 - 04/30/1993

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. (NEW YORK NY)

CO

01/22/1992 - 05/11/1992

CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)

MA

04/23/1990 - 04/16/1992

JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)

MA

04/23/1990 - 04/16/1992

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)

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Licenses & Designations

IA

Issued 10/21/2003

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/03/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/27/2003

Series 51 - Municipal Fund Securities Principal Examination

BC

Issued 09/28/2000

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/20/1992

Series 7 - General Securities Representative Examination

BC

Issued 04/20/1990

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Paul St patrick Barnes. Review regulatory record here.
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