KEVIN DAVID BARTON

BrokerCheck Report

KEVIN DAVID BARTON

Section Title

Report Summary

Broker Qualifications

Registration and Employment History

Disclosure Events

CRD# 2542056

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2 - 3

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Page(s)

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KEVIN D. BARTON

CRD# 2542056

This broker is not currently registered.

Report Summary for this Broker

This report summary provides an overview of the broker's professional background and conduct. Additionalinformation can be found in the detailed report.

Disclosure Events

All individuals registered to sell securities or provideinvestment advice are required to disclose customercomplaints and arbitrations, regulatory actions,employment terminations, bankruptcy filings, andcriminal or civil judicial proceedings.

Are there events disclosed about this broker? Yes

The following types of disclosures have beenreported:

Type Count

Regulatory Event 1

Judgment/Lien 11

Investment Adviser RepresentativeInformation

https://www.adviserinfo.sec.gov

The information below represents the individual'srecord as a broker. For details on this individual'srecord as an investment adviser representative,visit the SEC's Investment Adviser PublicDisclosure website at



This broker has passed:

0 Principal/Supervisory Exams

3 General Industry/Product Exams

2 State Securities Law Exams

Registration History

This broker was previously registered with thefollowing securities firm(s):

CROWN CAPITAL SECURITIES, L.P.CRD# 6312VISTA, CA12/2000 - 05/2021

B

WM FINANCIAL SERVICES, INC.CRD# 599IRVINE, CA01/1999 - 02/2001

B

GRIFFIN FINANCIAL SERVICESCRD# 1082308/1996 - 01/1999

B

www.finra.org/brokercheck User Guidance

1�2021 FINRA. All rights reserved. Report about KEVIN D. BARTON.


https://adviserinfo.sec.gov/individual/summary/2542056

http://www.finra.org/brokercheck

http://www.finra.org/brokercheck_reports



Registrations

This section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currently registered and licensed with, thecategory of each license, and the date on which it became effective. This section also provides, for every brokerage firm with which the broker iscurrently employed, the address of each branch where the broker works.








Industry Exams this Broker has Passed

This individual has passed 0 principal/supervisory exams, 3 general industry/product exams, and 2 state securities law exams.

This section includes all securities industry exams that the broker has passed. Under limited circumstances, a broker may attain a registrationafter receiving an exam waiver based on exams the broker has passed and/or qualifying work experience. Any exam waivers that the broker hasreceived are not included below.

Exam Category Date

Principal/Supervisory Exams

No information reported.

Exam Category Date

General Industry/Product Exams

Securities Industry Essentials Examination 10/01/2018SIEB

General Securities Representative Examination 09/15/1995Series 7B

Investment Company Products/Variable Contracts RepresentativeExamination

09/19/1994Series 6B

Exam Category Date

State Securities Law Exams

Uniform Investment Adviser Law Examination 06/18/2002Series 65IA

Uniform Securities Agent State Law Examination 09/19/1994Series 63B

Additional information about the above exams or other exams FINRA administers to brokers and other securities professionals can be found atwww.finra.org/brokerqualifications/registeredrep/.





www.finra.org/brokerqualifications/registeredrep/



Professional Designations

This section details that the representative has reported 0 professional designation(s).

No information reported.






Registration and Employment History

Registration History

Registration Dates Firm Name CRD# Branch Location

The broker previously was registered with the following firms:

B 12/2000 - 05/2021 CROWN CAPITAL SECURITIES, L.P. 6312 VISTA, CA

B 01/1999 - 02/2001 WM FINANCIAL SERVICES, INC. 599 IRVINE, CA

B 08/1996 - 01/1999 GRIFFIN FINANCIAL SERVICES 10823

B 09/1994 - 07/1996 WELLS FARGO SECURITIES INC. 17438 SAN FRANCISCO, CA

Employment History

Employment Employer Name Investment RelatedPosition Employer Location

This section provides up to 10 years of an individual broker's employment history as reported by the individual broker on the most recently filedForm U4.

Please note that the broker is required to provide this information only while registered with FINRA or a national securities exchangeand the information is not updated via Form U4 after the broker ceases to be registered. Therefore, an employment end date of"Present" may not reflect the broker's current employment status.

12/2000 - Present CROWN CAPITAL SECURITIES REG REP Y ORANGE, CA, United States

Other Business Activities

This section includes information, if any, as provided by the broker regarding other business activities the broker is currently engaged in either asa proprietor, partner, officer, director, employee, trustee, agent or otherwise. This section does not include non-investment related activity that isexclusively charitable, civic, religious or fraternal and is recognized as tax exempt.

(1) START DATE 12/2000 I DEVOTE 40 HRS/MO AS INDEPENDENT CONTRACTOR FOR PROSPERITY FINANCIAL GROUP. THIS IS NOTAN INVESTMENT RELATED ACTIVITY AND MY DUTIES INCLUDE TAX PREPARATION AND ADVISING. BUSINESS LOCATION SAME ASBRANCH LOCATION. (2) START DATE 01/2017 I DEVOTE 120 HRS/MO (NONE DURING TRADING) AS EMPLOYEE OF ZINTONMARKETING. THIS IS NOT AN INVESTMENT RELATED ACTIVITY AND MY DUTIES INCLUDE MARKETING OF FINANCIAL PRODUCTSAND SERVICES. BUSINESS LOCATION: 11582 WINDING RIDGE DR., SAN DIEGO, CA 92131






Disclosure Events

What you should know about reported disclosure events:

1. All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations,regulatory actions, employment terminations, bankruptcy filings, and criminal or civil judicial proceedings.

2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a broker is required to disclose a particular criminal event. o A customer dispute must involve allegations that a broker engaged in activity that violates certain rules or conduct governing the

industry and that the activity resulted in damages of at least $5,000. o

3. Disclosure events in BrokerCheck reports come from different sources: o As mentioned at the beginning of this report, information contained in BrokerCheck comes from brokers, brokerage firms and

regulators. When more than one of these sources reports information for the same disclosure event, all versions of the event willappear in the BrokerCheck report. The different versions will be separated by a solid line with the reporting source labeled.

o4. There are different statuses and dispositions for disclosure events:

o A disclosure event may have a status of pending, on appeal, or final.§ A "pending" event involves allegations that have not been proven or formally adjudicated.§ An event that is "on appeal" involves allegations that have been adjudicated but are currently being appealed.§ A "final" event has been concluded and its resolution is not subject to change.

o A final event generally has a disposition of adjudicated, settled or otherwise resolved.§ An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter, or (2) an administrative

panel in an action brought by a regulator that is contested by the party charged with some alleged wrongdoing.§ A "settled" matter generally involves an agreement by the parties to resolve the matter. Please note that brokers and

brokerage firms may choose to settle customer disputes or regulatory matters for business or other reasons.§ A "resolved" matter usually involves no payment to the customer and no finding of wrongdoing on the part of the

individual broker. Such matters generally involve customer disputes.

For your convenience, below is a matrix of the number and status of disclosure events involving this broker. Further informationregarding these events can be found in the subsequent pages of this report. You also may wish to contact the broker to obtain furtherinformation regarding these events.

Final On AppealPending

Regulatory Event 0 1 0

Judgment/Lien 11 N/A N/A






Disclosure Event Details

When evaluating this information, please keep in mind that a discloure event may be pending or involve allegations that are contested and havenot been resolved or proven. The matter may, in the end, be withdrawn, dismissed, resolved in favor of the broker, or concluded through anegotiated settlement for certain business reasons (e.g., to maintain customer relationships or to limit the litigation costs associated with disputingthe allegations) with no admission or finding of wrongdoing.

This report provides the information exactly as it was reported to CRD and therefore some of the specific data fields contained in the report maybe blank if the information was not provided to CRD.

Regulatory - Final

This type of disclosure event may involve (1) a final, formal proceeding initiated by a regulatory authority (e.g., a state securities agency, self-regulatory organization, federal regulatory such as the Securities and Exchange Commission, foreign financial regulatory body) for a violation ofinvestment-related rules or regulations; or (2) a revocation or suspension of a broker's authority to act as an attorney, accountant, or federalcontractor.

Disclosure 1 of 1

Reporting Source: Regulator

Regulatory Action InitiatedBy:

FINRA

Sanction(s) Sought:

Date Initiated: 04/27/2021

Docket/Case Number: 2018059856601

Employing firm when activityoccurred which led to theregulatory action:

Crown Capital Securities, L.P

Product Type: Other: Unspecified Securities

Allegations: Without admitting or denying the findings, Barton consented to the sanctions andto the entry of findings that he engaged in an outside business activity (OBA)without providing prior written notice to his member firm. The findings stated thatBarton signed an employment agreement with a California corporation, and was itssole employee. His duties included marketing of financial products and services.Barton was paid $60,000 per year by the corporation. Barton only disclosed theOBA to his firm months after his employment began. The findings also stated thatBarton exercised discretion without prior written authorization in fee-basedaccounts maintained by customers, including seniors. The customers conveyedoral authorization to Barton to exercise discretion in their accounts, and nonecomplained about the trading. Barton also never requested or obtained approvalfrom the firm to exercise discretion in the customers' accounts. The findings alsoincluded that Barton caused the firm to maintain inaccurate books and records bymarking order tickets as unsolicited when the trades were solicited as a result ofhis exercising discretion in the customers' accounts.





https://www.finra.org/rules-guidance/oversight-enforcement/finra-disciplinary-actions?search=2018059856601


Without admitting or denying the findings, Barton consented to the sanctions andto the entry of findings that he engaged in an outside business activity (OBA)without providing prior written notice to his member firm. The findings stated thatBarton signed an employment agreement with a California corporation, and was itssole employee. His duties included marketing of financial products and services.Barton was paid $60,000 per year by the corporation. Barton only disclosed theOBA to his firm months after his employment began. The findings also stated thatBarton exercised discretion without prior written authorization in fee-basedaccounts maintained by customers, including seniors. The customers conveyedoral authorization to Barton to exercise discretion in their accounts, and nonecomplained about the trading. Barton also never requested or obtained approvalfrom the firm to exercise discretion in the customers' accounts. The findings alsoincluded that Barton caused the firm to maintain inaccurate books and records bymarking order tickets as unsolicited when the trades were solicited as a result ofhis exercising discretion in the customers' accounts.

Current Status: Final

Resolution: Acceptance, Waiver & Consent(AWC)

Resolution Date: 04/27/2021

Sanctions Ordered:

Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?

No

Civil and Administrative Penalty(ies)/Fine(s)Suspension

If the regulator is the SEC,CFTC, or an SRO, did theaction result in a finding of awillful violation or failure tosupervise?

No

(1) willfully violated anyprovision of the SecuritiesAct of 1933, the SecuritiesExchange Act of 1934, theInvestment Advisers Act of1940, the InvestmentCompany Act of 1940, theCommodity Exchange Act, orany rule or regulation underany of such Acts, or any ofthe rules of the MunicipalSecurities Rulemaking Board,or to have been unable tocomply with any provision ofsuch Act, rule or regulation?

(2) willfully aided, abetted,counseled, commanded,induced, or procured theviolation by any person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any of suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board? or






(2) willfully aided, abetted,counseled, commanded,induced, or procured theviolation by any person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any of suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board? or

(3) failed reasonably tosupervise another personsubject to your supervision,with a view to preventing theviolation by such person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board?

Capacities Affected: All capacities

Duration: four months

Start Date: 05/17/2021

End Date: 09/16/2021

Sanction 1 of 1

Sanction Type: Suspension






Monetary Related Sanction: Civil and Administrative Penalty(ies)/Fine(s)

Total Amount: $17,500.00

Portion Levied againstindividual:

$17,500.00

Date Paid by individual:

Was any portion of penaltywaived?

No

Amount Waived:

Monetary Sanction 1 of 1

Payment Plan:

Is Payment Plan Current:

iReporting Source: Broker

Regulatory Action InitiatedBy:

FINRA

Sanction(s) Sought:

Date Initiated: 04/27/2021

Docket/Case Number: 2018059856601

Employing firm when activityoccurred which led to theregulatory action:

CROWN CAPITAL SECURITIES, L.P.

Product Type: Other: UNSPECIFIED SECURITIES

Allegations: Without admitting or denying the findings, Barton consented to the sanctions andto the entry of findings that he engaged in an outside business activity (OBA)without providing prior written notice to his member firm. The findings stated thatBarton signed an employment agreement with a California corporation, and was itssole employee. His duties included marketing of financial products and services.Barton was paid $60,000 per year by the corporation. Barton only disclosed theOBA to his firm months after his employment began. The findings also stated thatBarton exercised discretion without prior written authorization in fee-basedaccounts maintained by customers, including seniors. The customers conveyedoral authorization to Barton to exercise discretion in their accounts, and nonecomplained about the trading. Barton also never requested or obtained approvalfrom the firm to exercise discretion in the customers' accounts. The findings alsoincluded that Barton caused the firm to maintain inaccurate books and records bymarking order tickets as unsolicited when the trades were solicited as a result ofhis exercising discretion in the customers' accounts.





https://www.finra.org/rules-guidance/oversight-enforcement/finra-disciplinary-actions?search=2018059856601


Without admitting or denying the findings, Barton consented to the sanctions andto the entry of findings that he engaged in an outside business activity (OBA)without providing prior written notice to his member firm. The findings stated thatBarton signed an employment agreement with a California corporation, and was itssole employee. His duties included marketing of financial products and services.Barton was paid $60,000 per year by the corporation. Barton only disclosed theOBA to his firm months after his employment began. The findings also stated thatBarton exercised discretion without prior written authorization in fee-basedaccounts maintained by customers, including seniors. The customers conveyedoral authorization to Barton to exercise discretion in their accounts, and nonecomplained about the trading. Barton also never requested or obtained approvalfrom the firm to exercise discretion in the customers' accounts. The findings alsoincluded that Barton caused the firm to maintain inaccurate books and records bymarking order tickets as unsolicited when the trades were solicited as a result ofhis exercising discretion in the customers' accounts.

Current Status: Final

Resolution: Acceptance, Waiver & Consent(AWC)

Resolution Date: 04/27/2021

Sanctions Ordered:

Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?

No

Civil and Administrative Penalty(ies)/Fine(s)Suspension

Capacities Affected: ALL CAPACITIES

Duration: FOUR MONTHS

Start Date: 05/17/2021

End Date: 09/16/2021

Sanction 1 of 1

Sanction Type: Suspension

Monetary Related Sanction: Civil and Administrative Penalty(ies)/Fine(s)

Total Amount: $17,500.00

Portion Levied againstindividual:

$17,500.00

Date Paid by individual:

Was any portion of penaltywaived?

No

Amount Waived:

Monetary Sanction 1 of 1

Payment Plan:

Is Payment Plan Current:






Judgment / Lien

This type of disclosure event involves an unsatisfied and outstanding judgments or liens against the broker.

Disclosure 1 of 11

Reporting Source: Broker

Judgment/Lien Amount: $12,447.00

Judgment/Lien Holder: California Franchise Tax Board

Judgment/Lien Type: Tax

Date Filed with Court: 01/12/2018

Judgment/Lien Outstanding? Yes

Broker Statement Monthly payments are currently being made to satisfy this outstanding balance.

Type of Court: State Court

Name of Court: State of California

Location of Court: San Diego, CA

Docket/Case #: 20180013679

Date Individual Learned: 10/18/2018

Disclosure 2 of 11

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Judgment/Lien Holder: Internal Revenue Service




Broker Statement currently negotiated stay of collection

Type of Court: Tax

Name of Court: Internal Revenue Service


Docket/Case #: 20170599719







Disclosure 3 of 11

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Judgment/Lien Amount: $796.00









Docket/Case #: 20170172221


Disclosure 4 of 11

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Docket/Case #: 20160306789







Disclosure 5 of 11

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Judgment/Lien Holder: INTERNAL REVENUE SERVICE




Type of Court: INTERNAL REVENUE SERVICE

Name of Court: INTERNAL REVENUE SERVICE

Location of Court: SAN DIEGO COUNTY, CA

Docket/Case #: 302824


Disclosure 6 of 11

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Judgment/Lien Holder: STATE OF CALIFORNIA




Type of Court: FRANCHISE TAX BOARD

Name of Court: FRANCHISE TAX BOARD

Location of Court: SAN DIEGO, CA



Disclosure 7 of 11

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Judgment/Lien Holder: FRANCHISE TAX BOARD





Name of Court: STATE OF CALIFORNIA

Location of Court: SAN DIEGO, CA


Disclosure 8 of 11

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Judgment/Lien Amount: $255.62

Judgment/Lien Holder: Unknown Creditor

Judgment/Lien Type: Civil



Broker Statement I am not aware of the creditor or the nature of the lien.


Name of Court: San Diego




Disclosure 9 of 11

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Broker Statement Currently negotiating with IRS on repayment agreement

Type of Court: IRS



Docket/Case #: 20100413172


Disclosure 10 of 11

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Judgment/Lien Holder: Franchise Tax Board




Broker Statement Currently making payments

Type of Court: Franchise Tax Board

Name of Court: Franchise Tax Board


Docket/Case #: 20100064442


Disclosure 11 of 11

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Broker Statement Currently negotiating with IRS on repayment agreement.

Type of Court: IRS



Docket/Case #: 20080580626







End of Report

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KEVIN DAVID BARTON

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