Last Updated: December 2025 — Brentwood, TN
Here’s what you need to know about Brentwood, TN stockbroker Roger Barnett:
- Name: Roger Allen Barnett II
- Current Employer: LPL Financial LLC (CRD #6413) — Registered since January 23, 2020; branch office listed in Brentwood, TN.
- Prior Firms:
- Hornor, Townsend & Kent, LLC (Brentwood, TN) — 10/2017–01/2020
- The O.N. Equity Sales Company (Nashville, TN) — 01/1992–10/2017
- Capital Analysts, Incorporated (Cincinnati, OH) — 07/1991–01/1992
- Thomson McKinnon Securities Inc. — 08/1987–03/1988
- Drexel Burnham Lambert Incorporated — 12/1983–07/1987
- Other Business Affiliations: Creekwood Marina, Inc. — Secretary / board member of a private marina for boating recreation in Hendersonville, TN
- CRD number: 1209301
- Stockbroker / Financial Advisor: Yes — FINRA General Securities Principal & General Securities Representative; has passed the Series 24, Series 7, SIE, Series 5, Series 63, and Series 65 exams.
- Can Broker be Sued in FINRA: Yes
- Current Customer Dispute Seeks Total Damages of: $125,000
If you’ve sustained damages from Mr. Barnett, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Roger A. Barnett II As Your Stockbroker?
A pending FINRA arbitration filed by a customer of his prior employer, O.N. Equity Sales Company alleges that Roger Barnett recommended an unsuitable investment in a real estate investment trust (REIT). Damages of $125,000 are sought in this pending matter.
Allegations of Broker Misconduct Against Roger A. Barnett II
- Unsuitability
If you believe that unsuitable REIT or alternative-investment recommendations, misrepresentations, or account activity by Mr. Barnett have caused you financial harm, you may have grounds to pursue recovery through FINRA arbitration.
See this for more information on REITs and Other Alternative Investments
Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk. For more investigations involving Alternative Investments, see this.
Recover Your Investment Losses Now With Rex Securities Law
Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by Roger A. Barnett II, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.