RC
Robert B. Clayton
CETERA INVESTMENT ADVISERS LLC
NISSEQUOGUE, NY
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CRD#: 1350253
RC
Professional summary
Robert Barry Clayton, ChFC®, CLU® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Nissequogue, New York and CETERA WEALTH SERVICES, LLC located in Nissequogue, New York.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Robert has worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. NAME OF OTHER BUSINESS: CLAYTON FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 12/2005 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 20 BRIEF DESCRIPTION OF DUTIES: BUSINESS PROFESSIONAL PROVIDING FINANCIAL SERVICES TO CLIENTS 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 12/1985 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: 3 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: 3. NAME OF OTHER BUSINESS: ROBERT AND TINY CLAYTON INVESTMENT RELATED: NO ADDRESS: SOUTHAMPTON, NY NATURE OF BUSINESS: RENTAL PROPERTY START DATE: 08/2018 POSITION/TITLE/RELATIONSHIP: CO-OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: FAMILY-OWNED RENTAL PROPERTY WITH 6 PARTNERS COLLECTIVELY MANAGE AND RENT PROPERTY
CRS (Client Relationship Summary) - RIA
Click below to view Robert Barry Clayton's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
January 21, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
NISSEQUOGUE, NY
Current
January 21, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
NISSEQUOGUE, NY
Past
October 11, 2024 - January 23, 2025
OSAIC WEALTH, INC.
RIA
CRD#: 23131
Holbrook, NY
Past
October 11, 2024 - January 23, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
Holbrook, NY
Past
December 11, 2007 - October 11, 2024
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
December 3, 2007 - October 11, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
Holbrook, NY
Past
August 6, 2004 - December 4, 2007
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
ISLIP TERRACE, NY
Past
May 3, 1999 - December 4, 2007
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
ISLIP TERRACE, NY
Past
May 21, 1998 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
April 16, 1985 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
April 16, 1985 - April 7, 1998
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/23/2025)
RR
Arizona(2/4/2025)
RR
Connecticut(1/21/2025)
RR
District of Columbia(8/5/2025)
RR
Florida(1/22/2025)
RR
Georgia(7/24/2025)
RR
Nevada(1/23/2025)
RR
New Jersey(1/24/2025)
RR
New York(1/23/2025)
IAR
New York(1/28/2025)
RR
North Carolina(1/27/2025)
RR
Pennsylvania(1/22/2025)
RR
South Carolina(1/27/2025)
RR
South Dakota(5/20/2025)
RR
Tennessee(1/24/2025)
RR
Texas(1/21/2025)
IAR
Texas(1/21/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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.
