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Detailed Report
Andrew Scott Barnes
SCOTT BARNES
CRD#: 4176927
IA
Investment Adviser
B
Broker
HAPANOWICZ FINANCIALCRD#: 157523 YOUNGSVILLE, NC
LPL FINANCIAL LLCCRD#: 6413 YOUNGSVILLE, NC
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2011 (5 years)2 FIRMS2011 - 2013 (1 year)2 FIRMS2024 - Present (<1 year)BTHE LEADERS GROUP, INC. (CRD# 37157)2020 - 2022 (2 years)BINVESTACORP, INC. (CRD# 7684)2018 - 2019 (1 year)BPRUCO SECURITIES, LLC. (CRD# 5685)2015 - 2016 (<1 year)BPACIFIC SELECT DISTRIBUTORS, LLC (CRD# 4452)2013 - 2015 (2 years)BJEFFERSON PILOT SECURITIES COR... (CRD# 3870)2004 - 2006 (1 year)BFIRST TENNESSEE BROKERAGE, INC. (CRD# 17117)2004 - 2004 (<1 year)BAMVESCAP SERVICES, INC. (CRD# 14007)2002 - 2004 (1 year)BINVESCO DISTRIBUTORS, INC. (CRD# 289)2000 - 2002 (1 year)
License(s)

State Registrations

B
North Carolina 9/4/2024
IA
Pennsylvania 10/15/2024
B
Pennsylvania 9/3/2024

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
HAPANOWICZ FINANCIAL (CRD#:157523)
YOUNGSVILLE, NC
Registered with this firm since 10/15/2024
B
LPL FINANCIAL LLC (CRD#:6413)
YOUNGSVILLE, NC
Registered with this firm since 9/3/2024
Previous Registration(s)
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B
 03/30/2020 - 12/05/2022 THE LEADERS GROUP, INC. (CRD#:37157) LITTLETON, CO
B
 05/08/2018 - 05/20/2019 INVESTACORP, INC. (CRD#:7684) Charlotte, NC
B
 07/24/2015 - 04/11/2016 PRUCO SECURITIES, LLC. (CRD#:5685) NEWARK, NJ
B
 04/09/2013 - 06/30/2015 PACIFIC SELECT DISTRIBUTORS, LLC (CRD#:4452) NEWPORT BEACH, CA
IA
 05/17/2011 - 04/02/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) RALEIGH, NC
B
 05/17/2011 - 04/02/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) RALEIGH, NC
B
 05/30/2006 - 05/11/2011 LINCOLN FINANCIAL DISTRIBUTORS, INC. (CRD#:145) GREENSBORO, NC
IA
 05/30/2006 - 02/25/2011 LINCOLN FINANCIAL DISTRIBUTORS, INC. (CRD#:145) YOUNGSVILLE, NC
B
 11/02/2004 - 05/31/2006 JEFFERSON PILOT SECURITIES CORPORATION (CRD#:3870) GREENSBORO, NC
B
 03/18/2004 - 09/21/2004 FIRST TENNESSEE BROKERAGE, INC. (CRD#:17117) MEMPHIS, TN
B
 04/17/2002 - 03/04/2004 AMVESCAP SERVICES, INC. (CRD#:14007) ATLANTA, GA
B
 07/07/2000 - 02/25/2002 INVESCO DISTRIBUTORS, INC. (CRD#:289) HOUSTON, TX
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.