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JONATHAN DAVID BARKLEY
JONATHAN BARKLEY, DAVID BARKLEY
CRD#: 5295890
IA
B
IHT WEALTH MANAGEMENT LLCCRD#: 171481 8132 Raphael Drive
Dubuque, IA 52003
Dubuque, IA 52003
LPL FINANCIAL LLCCRD#: 6413 11400 W US HIGHWAY 20 STE 6
GALENA, IL 61036-8217
GALENA, IL 61036-8217
0
Disclosures
17
Years of Experience
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State Registrations
B
Alaska 3/25/2022
B
Nebraska 12/10/2020
B
Arizona 10/14/2016
B
New Mexico 10/14/2016
B
California 10/14/2016
B
South Carolina 10/14/2016
B
Florida 10/14/2016
B
Texas 10/14/2016
B
Hawaii 7/27/2023
B
Virginia 10/14/2016
B
Illinois 10/14/2016
B
West Virginia 10/14/2016
B
Iowa 10/14/2016
B
Wisconsin 10/14/2016
IA
Iowa 10/14/2016
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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B
Registered with this firm since 10/14/2016
IA
Registered with this firm since 10/14/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/06/2012 - 10/17/2016 | DUBUQUE, IA | |
B | 01/06/2012 - 10/17/2016 | DUBUQUE, IA | |
IA | 05/11/2007 - 01/11/2012 | STOCKTON, IL | |
B | 04/09/2007 - 01/11/2012 | STOCKTON, IL |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.