Nicholas Barnes (CRD# 5258175) is an Investment Advisor Representative working at Avantax Advisory Services in Fulton, NY and has over 15 years of experience in the finance industry. Nicholas Barnes has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 5591004
Cadaret Grant & Co Inc.
CRD# 1200413
Rbc Capital Markets, LLC
CRD# 828730
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Company Name | Location | Dates | Years |
---|---|---|---|
Avantax Advisory Services | Fulton, NY | Apr 2023 - Current | 1 |
Avantax Planning Partners, Inc. | Fulton, NY | Apr 2023 - Current | 1 |
Avantax Investment Servies, Inc. | Fulton, NY | Apr 2023 - Current | 1 |
Unemployed | Fulton, NY | Jan 2023 - Apr 2023 | < 1 |
D'arcangelo & Company LLP | Fulton, NY | Jan 2021 - Dec 2022 | 1 |
Mml Investors Services | Syracuse, NY | Sep 2018 - Oct 2020 | 2 |
Financial Partners Of Upstate Ny/massmutual | Syracuse, NY | Aug 2018 - Oct 2020 | 2 |
Rockbridge Investment | Syracuse, NY | Feb 2018 - Jul 2018 | < 1 |
Reagan Investment Management | Marcellus, NY | Nov 2016 - Feb 2018 | 1 |
The Prudential Insurance Company Of America | Cicero, NY | Sep 2016 - Nov 2016 | < 1 |
Prudential Securities | Cicero, NY | Jul 2016 - Nov 2016 | < 1 |
Upstate Business Consultants | Syracuse, NY | Jun 2015 - May 2016 | < 1 |
Dannible & Mckee | Syracuse, NY | Nov 2014 - Apr 2015 | < 1 |
Unemployed | Wayne, NJ | Feb 2014 - Nov 2014 | < 1 |
Exam Code | Name | Passed Date |
---|---|---|
S65 | NASAA Investment Advisors Law Examination | Nov 2008 |
S63 | Uniform Securities State Law Examination | Jul 2023 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- NY
-
Total Assets Under Management41,696MILLIONS
-
Total Number of Accounts131,534ACCOUNTS
-
Average Account Value$316,996
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
About Wealthminder
Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.
Wealthminder is a database derived from SEC.gov data covering every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.
Finding a Financial Advisor through Wealthminder
Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.
The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.
Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.
You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.
Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.