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Charles Michael Barker

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Information

Other Names: C Mike Barker, Mike Barker
Firm:
Type: Dual Registration
Description

Charles Barker is a financial professional at LPL Financial LLC, a broker-dealer with over 17,900 registered representatives nationwide. Charles has held an industry securities registration for 18 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
LPL Financial LLC 16 years, 5 months Feb 1998 - Present
Exams
ExamSeriesPassed Date
General Securities Principal ExaminationSeries 24 08/28/2001
Uniform Securities Agent State Law ExaminationSeries 63 11/04/1994
General Securities Representative ExaminationSeries 7 10/12/1994

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Charles Michael Barker has not answered any questions on Financial Q&A.

Top Guides

Charles Michael Barker has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
09/21/2012
08/16/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions