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Detailed Report
KEVIN BARNES
KEVIN M BARNES, KEVIN MATTHEW BARNES, Kevin Barnes
CRD#: 6283816
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 12 East Washington St
Greenville, SC 29601-2731
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2017 - 2018 (1 year)2 FIRMS2018 - 2024 (5 years)2 FIRMS2024 - 2024 (<1 year)2 FIRMS2024 - Present (<1 year)BFIDELITY INVESTMENTS INSTITUTI... (CRD# 17507)2014 - 2017 (3 years)
Disclosure(s)
View By:
7/29/2022
Judgment / Lien
License(s)

State Registrations

B
Florida 10/4/2024
B
North Carolina 10/7/2024
B
Georgia 10/4/2024
B
South Carolina 10/2/2024
B
Louisiana 10/10/2024
IA
South Carolina 10/2/2024

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

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
CHARLES SCHWAB & CO., INC. (CRD#:5393)
12 East Washington St, Greenville, SC 29601-2731
Registered with this firm since 10/2/2024
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
12 East Washington St, Greenville, SC 29601-2731
Registered with this firm since 10/2/2024
Previous Registration(s)
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IA
 05/08/2024 - 09/05/2024 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) FRANKLIN, TN
B
 04/29/2024 - 09/05/2024 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) FRANKLIN, TN
IA
 11/09/2018 - 03/26/2024 MORGAN STANLEY (CRD#:149777) Greenville, SC
B
 11/09/2018 - 03/26/2024 MORGAN STANLEY (CRD#:149777) Greenville, SC
IA
 05/04/2017 - 11/15/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) GREENVILLE, SC
B
 04/05/2017 - 11/15/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) GREENVILLE, SC
B
 01/29/2014 - 03/21/2017 FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CRD#:17507) WESTLAKE, 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.