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Detailed Report
WILLIAM PRESTON BARNES IV
WILLIAM PRESTON BARNES
CRD#: 3023699
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 15635 ALTON PKWY STE 160
IRVINE, CA 92618
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2018 - 2021 (3 years)2 FIRMS2021 - 2023 (1 year)2 FIRMS2023 - Present (1 year)BKESTRA INVESTMENT SERVICES, LLC (CRD# 42046)2014 - 2018 (3 years)BFINANCIAL TELESIS INC (CRD# 31012)2006 - 2014 (8 years)BONEAMERICA SECURITIES, INC. (CRD# 4173)2005 - 2006 (<1 year)BDIVERSIFIED INVESTORS SECURITI... (CRD# 32205)2002 - 2005 (2 years)BVANGUARD MARKETING CORPORATION (CRD# 7452)1998 - 2001 (3 years)IANFP RETIREMENT INC. (CRD# 121254)2006 - 2018 (11 years)
License(s)

State Registrations

B
Arizona 8/14/2023
B
Indiana 7/24/2024
B
California 8/14/2023
B
Montana 10/28/2024
IA
California 8/14/2023
B
Washington 8/14/2023

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
LPL FINANCIAL LLC (CRD#:6413)
15635 ALTON PKWY STE 160, IRVINE, CA 92618
Registered with this firm since 8/14/2023
B
LPL FINANCIAL LLC (CRD#:6413)
15635 ALTON PKWY STE 160, IRVINE, CA 92618
Registered with this firm since 8/14/2023
Previous Registration(s)
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IA
 09/10/2021 - 08/14/2023 KESTRA ADVISORY SERVICES, LLC (CRD#:283330) Laguna Niguel, CA
B
 09/10/2021 - 08/14/2023 KESTRA INVESTMENT SERVICES, LLC (CRD#:42046) AUSTIN, TX
IA
 05/01/2018 - 08/23/2021 EQUITABLE ADVISORS, LLC (CRD#:6627) HONOLULU, HI
B
 04/30/2018 - 08/23/2021 EQUITABLE ADVISORS, LLC (CRD#:6627) HONOLULU, HI
IA
 06/15/2006 - 04/09/2018 NFP RETIREMENT INC. (CRD#:121254) ALISO VIEJO, CA
B
 07/29/2014 - 04/02/2018 KESTRA INVESTMENT SERVICES, LLC (CRD#:42046) Aliso Viejo, CA
B
 02/07/2006 - 07/23/2014 FINANCIAL TELESIS INC (CRD#:31012) ALISO VIEJO, CA
B
 03/29/2005 - 02/10/2006 ONEAMERICA SECURITIES, INC. (CRD#:4173) INDIANAPOLIS, IN
B
 05/14/2002 - 03/04/2005 DIVERSIFIED INVESTORS SECURITIES CORP. (CRD#:32205) HARRISON, NY
B
 03/25/1998 - 11/07/2001 VANGUARD MARKETING CORPORATION (CRD#:7452) MALVERN, PA
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.