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BARKER FINANCIAL GROUP, INC.
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BARKER FINANCIAL GROUP, INC.
(CRD# 116817)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Beverly, MA.
The SEC approved the firm to operate as an RIA in
Apr 2014.
In
Jul 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$147.4 Million,
and has discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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BARKER FINANCIAL GROUP, INC.
also reported in
Jul 2018:
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4
employees,
with
2
performing advisory functions.
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A total of 3 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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BARKER FINANCIAL GROUP, INC. has one or more disclosure events currently on file with the SEC.
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BARKER FINANCIAL GROUP, INC. has Notice Filings with the following State Securities Authorities:
CA-Apr 2014, CT-Apr 2016, DC-Apr 2014, FL-Apr 2014, MA-Apr 2014
, ME-Mar 2017, NH-Apr 2014, RI-Apr 2014, TX-Apr 2014, VT-Apr 2014
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The information presented above was gleaned from the SEC
website and is believed to be accurate.
FindingFraud.org is presenting this data for
informational purposes only and assumes no
responsibility for errors or omissions. Please
note that we are aware of many instances where RIAs
provided erroneous data to the SEC. Feel Free to
contact FindingFraud.org with questions or concerns.
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