Patricia Barnes has been an investment adviser representative at Volk Financial since January 2021, and is not listed among the firm’s executive officers or direct owners.
Volk Financial LLC is a Falmouth, ME firm with $117M under management, 176 clients and 2 advisers across 2 offices, as of its September 2026 filing.
Patricia "Trish" Barnes is Founder of Maine Advisory Associates and an Investment Advisor Representative of the firm, continuing in a consulting role over the next couple years after the leadership transition. She has worked in the investment and financial services world for nearly 30 years. After 16 years of teaching at the high school and university levels, she worked as a securities representative, insurance agent, and loan broker before moving into investment advisory services, and incorporated in 2006 as an independent entity.
Patricia Barnes’ longest registration was 6 years at Maine Advisory Associates, Inc. (2015–2021). Before joining Volk Financial in 2021, Patricia Barnes was registered through Maine Advisory Associates, Inc. and Cadaret Grant & Co Inc.
- Maine Advisory Associates, Inc.– · 6 yearsNew Sharon, ME · Adviser representative · Firm CRD 173886
- Cadaret Grant & Co Inc– · 4 yearsNew Sharon, ME · Adviser representative · Firm CRD 10641
- Maine Accountants Alliance, Inc.– · 4 yearsNew Sharon, ME · Adviser representative · Firm CRD 140882
Investment adviser representative registrations
Patricia Barnes is registered as an investment adviser representative in Maine, since January 2021.
- MaineSince 4 January 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 4 May 2007 |
| Series 7 | General Securities Representative Examination | 18 January 2007 |
| Series 65 | Uniform Investment Adviser Law Examination | 20 April 2006 |
| Series 63 | Uniform Securities Agent State Law Examination | 22 April 1998 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 3 January 1995 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 29 December 1992 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- CRD
- 2301209
- Firm
- Volk Financial · CRD 311679
- Registration
- Investment adviser registration
- In the industry since
- February 2007
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- maineadvisory.com
Where does Patricia Barnes work?
Patricia Barnes is an investment adviser representative registered through Volk Financial LLC since January 2021, and is not listed among the firm’s executive officers or direct owners.
Is Patricia Barnes a financial advisor?
Yes. Patricia Barnes has a current investment-adviser registration in Maine, through Volk Financial since January 2021.
How many years of experience does Patricia Barnes have?
Patricia Barnes has 19 years in the financial industry, since February 2007, across 4 adviser firms.
What exams has Patricia Barnes passed?
Patricia Barnes has passed 6 licensing exams: the Series 6, Series 26, Series 63, Series 65, Series 7 and Series 24. The earliest, the Series 6, was passed in December 1992. FINRA credited Patricia Barnes with the SIE, which began in October 2018.
Where did Patricia Barnes work before Volk Financial?
Before Volk Financial, Patricia Barnes was registered through Cadaret Grant & Co Inc, January 2010 to December 2014; Maine Accountants Alliance, Inc., February 2007 to October 2011.
Is Patricia Barnes registered with FINRA?
No. Patricia Barnes has no current broker registration.
How can I verify Patricia Barnes’ record?
Search CRD 2301209 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Patricia Barnes’ full registration record.
