Joseph BarnettCRD Number: 1835429
Current Firm: Royal Alliance Associates, Inc.
Joseph Barnett (CRD# 1835429) is an Investment Advisor Representative working at Royal Alliance Associates, Inc. in Greenville, SC and has over 29 years of experience in the finance industry.
Erisa Plan Services Inc.
Eagle Strategies LLC
Securities America Advisors, Inc.
|Royal Alliance||Greenville, SC||Jul 2011 - Current||6|
|Securities America, Inc.||Greenville, SC||Sep 2008 - Jul 2011||2|
|Securities America Advisors, Inc.||Greenville, SC||Sep 2008 - Jul 2011||2|
|Linsco Private Ledger||Greenville, SC||Dec 2006 - Sep 2008||1|
|Wealthbrook Advisors, Inc.||Greenville, SC||May 2006 - Dec 2006||< 1|
|Securities America Advisors, Inc.||Greer, SC||Jan 2005 - Dec 2006||1|
|Securities America, Inc.||Greer, SC||Dec 2004 - Dec 2006||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1988|
|S65||NASAA Investment Advisors Law Examination||Dec 2003|
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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management4,629MILLIONS
Total Number of Accounts19,113ACCOUNTS
Average Account Value$242,202
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
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, VI, VT, WA, WI, WV