Articles Tagged with James Barnes

James BarnesPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2018 indicate that Arkansas-based TransAmerica Financial Advisors broker James Barnes is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Barnes (CRD# 2421490).

James Barnes has spent 20 years in the securities industry and has been registered with TransAmerica Financial Advisors in Mountain View, Arkansas since 2016. Previous registrations include SagePoint Financial in Mountain View, Arkansas (2014-2016); MetLife Securities in Franklin, Tennessee (2008-2014); ING Financial Partners in Mountain View, Arkansas (1997-2007); Washington Square Securities in Des Moines, Iowa (1995-1997); MetLife Securities in Springfield, Massachusetts (1995); and Metropolitan Life Insurance Company in New York, New York (1995). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 8, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 8, 1995. He is a registered broker with three US states: Alabama, Arkansas, and Texas.

According to his BrokerCheck report, he has received one pending customer complaint.