Barry A. Botfeld
Professional summary
Barry Alan Botfeld, who also goes by Barry Alan Botfeld, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Boynton Beach, Florida and CETERA WEALTH SERVICES, LLC located in Boynton Beach, Florida.
Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Barry has worked at 26 firms and has passed the Series 66, Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Barry Alan Botfeld's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 2, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
April 19, 2022 - Present
CETERA WEALTH SERVICES, LLC
April 26, 2022 - Present
CETERA ADVISORS LLC
April 20, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
April 19, 2022 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
February 7, 2022 - April 13, 2022
FINALIS SECURITIES LLC
May 20, 2021 - January 28, 2022
CETERA WEALTH SERVICES, LLC
October 14, 2020 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
April 17, 2019 - January 28, 2022
CETERA WEALTH SERVICES, LLC
June 19, 2018 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
April 18, 2017 - June 28, 2018
HERBERT J. SIMS & CO, INC.
January 7, 2013 - July 1, 2016
ASCENDIANT CAPITAL MARKETS, LLC
February 23, 2009 - March 7, 2012
DAVID LERNER ASSOCIATES, INC.
April 30, 2008 - February 18, 2009
MIDTOWN PARTNERS
November 7, 2007 - February 5, 2008
NOBLE CAPITAL MARKETS, INC.
March 23, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 23, 2007 - August 15, 2007
MSI FINANCIAL SERVICES, INC.
January 3, 2005 - June 21, 2005
VIEWTRADE SECURITIES, INC.
September 12, 2002 - September 23, 2002
LADENBURG THALMANN & CO. INC.
April 27, 2001 - December 13, 2001
RUMSON CAPITAL, LLC
November 6, 2000 - April 5, 2001
HILL THOMPSON MAGID & CO., INC.
January 7, 1992 - July 31, 2000
HERZOG, HEINE, GEDULD, LLC
December 9, 1991 - January 10, 1992
JOSEPHTHAL & CO., INC.
August 11, 1987 - May 31, 1991
JW GENESIS CLEARING CORP.
October 7, 1986 - July 23, 1987
CREDIT SUISSE SECURITIES (USA) LLC
September 10, 1984 - July 15, 1985
DEUTSCHE BANK SECURITIES INC.
November 15, 1982 - September 28, 1984
BECKER PARIBAS INCORPORATED
May 20, 1982 - November 24, 1982
ROONEY, PACE INC.
May 1, 1982 - May 14, 1982
FLEET BROKERAGE SECURITIES, INC.
March 2, 1982 - March 23, 1982
ROONEY, PACE INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 1/19/2005
Limited Representative-Equity Trader ExamFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
