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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

WAYNE BARNES

Advisor at J.P. MORGAN SECURITIES LLC

CERRITOS, CA

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Search this name across graphsid dfx:ria:e4f69eee-fd2c-fb94-6ade-ce9ba89442cc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 23, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 16, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: May 16, 2005
First registration: Jun 23, 2005
Dual registered: yes, broker-dealer
Other names: WAYNE OTIS BARNES
IAPD individual key: 4917076

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 12, 2017	n/a	yes	CERRITOS, CA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 11, 2011	Oct 18, 2017	no	BREA, CA\|BREA, CA\|NEWPORT BEACH, CA\|BREA, CA\|PLACENTIA, CA\|FULLERTON, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Oct 5, 2011	no	RANCHO SANTA MARGARITA, CA\|IRVINE, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Jun 23, 2010	Jan 3, 2011	no	RANCHO SANTA MARGARITA, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 23, 2005	Nov 22, 2008	no	GLENDALE, CA\|LAS VEGAS, NV\|HENDERSON, NV	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	Oct 18, 2017	Oct 12, 2017	-6	Firm change	Wirehouse to wirehouse
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 5, 2011	Oct 11, 2011	6	Firm change	Wirehouse to wirehouse
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
AMERIPRISE FINANCIAL SERVICES, LLC	WELLS FARGO INVESTMENTS, LLC	Nov 22, 2008	Jun 23, 2010	578	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:79:CA:2017-10-02	Oct 18, 2017	Oct 12, 2017	FULLERTON, CA	Firm change

Relationships

Registered with (5)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Oct 12, 2017 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 11, 2011 to Oct 18, 2017factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Oct 5, 2011factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jun 23, 2010 to Jan 3, 2011factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jun 23, 2005 to Nov 22, 2008factForm ADV

Dated events

No dated event names this entity yet.