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Charles Michael Barker

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Other Names: C Mike Barker, Mike Barker
Type: SEC and FINRA Registered

Charles Barker is a financial professional at LPL Financial LLC, a broker-dealer with over 18,200 registered representatives nationwide. Charles has held an industry securities registration for 20 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
LPL Financial LLC 17 years, 8 months Feb 1998 - Present
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 Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

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Firm Client Types

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

License Status

No Disclosures Found

No Disclosures Found

As of Date
*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

Types of Compensation Arrangements

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