Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
STEVEN ALLEN BARNES
CRD#: 1609891
IA
Investment Adviser
B
Broker
BARNES WEALTH MANAGEMENT GROUPCRD#: 132189 5060 CALIFORNIA AVENUE
SUITE 600
BAKERSFIELD, CA 93309
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 5060 California Avenue
Suite 600
Bakersfield, CA 93309
Registration History
199019952000200520102015202020252 FIRMS2001 - 2015 (14 years)IABARNES WEALTH MANAGEMENT GROUP (CRD# 132189)2001 - Present (23 years)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2015 - Present (9 years)BLUTHERAN BROTHERHOOD SECURITIE... (CRD# 4205)1987 - 2001 (14 years)
License(s)

State Registrations

B
Alaska 10/13/2022
B
New York 10/13/2022
IA
California 10/30/2001
B
Oregon 10/13/2022
B
California 11/16/2015
B
Texas 11/8/2021
B
Indiana 10/29/2021
IA
Texas 5/2/2022
B
Kentucky 10/13/2022
B
Virginia 10/29/2021
B
Michigan 10/29/2021
B
Washington 10/29/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
BARNES WEALTH MANAGEMENT GROUP (CRD#:132189)
5060 CALIFORNIA AVENUE SUITE 600, BAKERSFIELD, CA 93309
Registered with this firm since 10/30/2001
B
PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747)
5060 California Avenue Suite 600, Bakersfield, CA 93309
Registered with this firm since 11/16/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 08/02/2001 - 11/25/2015 LPL FINANCIAL LLC (CRD#:6413) BAKERSFIELD, CA
IA
 08/16/2001 - 11/02/2015 LPL FINANCIAL LLC (CRD#:6413) BAKERSFIELD, CA
B
 02/23/1987 - 08/06/2001 LUTHERAN BROTHERHOOD SECURITIES CORP. (CRD#:4205) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.