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Roy Lamonte Barnes

Wells Fargo Securities, LLC

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About Roy Lamonte Barnes

Roy Lamonte Barnes is a financial professional with over 20 years of experience in the industry. Currently, Roy is registered with Wells Fargo Securities, LLC. Roy has worked for several prominent firms throughout their career including Columbia Management Distributors, Inc., BACAP Distributors, LLC, Stephens Inc. and Harris Investor Services LLC. Roy is a Series 7, 63, 65, SIE, and 99TO licensed professional. Roy is registered in all 50 states, Puerto Rico and the Virgin Islands.

Firm Information

Roy Barnes is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

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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Roy Barnes’s Registration & Firm History

NC

11/16/2005 - Present

Wells Fargo Securities, LLC (CHARLOTTE NC)

MA

06/21/2004 - 11/16/2005

COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (BOSTON MA)

NC

01/01/2003 - 06/21/2004

BACAP DISTRIBUTORS, LLC (CHARLOTTE NC)

AR

03/14/2002 - 01/01/2003

STEPHENS INC. (LITTLE ROCK AR)

NJ

09/05/2000 - 03/15/2002

HARRIS INVESTOR SERVICES LLC (JERSEY CITY NJ)

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Licenses & Designations

IA

Issued 12/31/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/21/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/01/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Roy Lamonte Barnes.
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