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Detailed Report
JAMES DARBY BARRETT
DARBY BARRETT
CRD#: 2211094
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 6330 MCINTYRE PKWY
ARVADA, CO 80403
Registration History
19952000200520102015202020252 FIRMS1992 - 1992 (<1 year)2 FIRMS1993 - 1993 (<1 year)2 FIRMS2012 - Present (12 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2007 - 2012 (4 years)BALLSTATE FINANCIAL SERVICES, LLC (CRD# 18272)2006 - 2007 (1 year)BWESCOM FINANCIAL SERVICES (CRD# 125650)2004 - 2006 (1 year)BCUSO FINANCIAL SERVICES, L.P. (CRD# 42132)2000 - 2004 (4 years)BFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)1997 - 2000 (3 years)BGREAT WESTERN FINANCIAL SECURI... (CRD# 14229)1994 - 1997 (3 years)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2008 - 2012 (4 years)
License(s)

State Registrations

B
Arizona 1/17/2020
B
Nevada 7/6/2015
B
California 5/25/2012
B
South Carolina 3/22/2018
B
Colorado 5/25/2012
B
Texas 7/5/2016
IA
Colorado 5/25/2012
IA
Texas 7/7/2016
B
Florida 7/7/2015
B
Utah 8/5/2015
B
Massachusetts 12/6/2024
B
Virginia 3/31/2020
B
Michigan 3/4/2014
B
Washington 12/13/2022
B
Missouri 2/21/2020
B
Wisconsin 4/29/2015
B
Montana 7/24/2024

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
WELLS FARGO ADVISORS (CRD#:19616)
6330 MCINTYRE PKWY, ARVADA, CO 80403
Registered with this firm since 5/25/2012
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
6330 MCINTYRE PKWY, ARVADA, CO 80403
Registered with this firm since 5/25/2012
Previous Registration(s)
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IA
 02/26/2008 - 05/30/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) EVERGREEN, CO
B
 10/17/2007 - 05/30/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) EVERGREEN, CO
B
 06/08/2006 - 08/31/2007 ALLSTATE FINANCIAL SERVICES, LLC (CRD#:18272) DENVER, CO
B
 08/31/2004 - 03/27/2006 WESCOM FINANCIAL SERVICES (CRD#:125650) ANAHEIM, CA
B
 08/08/2000 - 09/01/2004 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) SAN DIEGO, CA
B
 06/06/1997 - 08/21/2000 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) EL SEGUNDO, CA
B
 02/23/1994 - 05/22/1997 GREAT WESTERN FINANCIAL SECURITIES CORPORATION (CRD#:14229) NORTHRIDGE, CA
B
 03/20/1993 - 09/01/1993 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 03/20/1993 - 09/01/1993 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
B
 10/09/1992 - 12/11/1992 DICKINSON & CO. (CRD#:689)
FINRA expelled the firm on 04/07/1998
DES MOINES, IA
B
 04/02/1992 - 10/06/1992 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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.