BK
Barbara A. Koontz
CETERA INVESTMENT ADVISERS LLC
SALEM, OR 97302
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CRD#: 1487389
BK
Professional summary
Barbara Ann Koontz, who also goes by Barbara Ann Whisenhunt, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Salem, Oregon and CETERA FINANCIAL SPECIALISTS LLC located in Brownsville, Oregon.
Barbara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Barbara has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Barbara Ann Whisenhunt
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: KOONTZ, ELKER, AND ASSOCIATES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/2022, POSITION/TITLE/RELATIONSHIP: PART OWNER APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 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: 05/2024; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 3; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELL LONG-TERM CARE;
CRS (Client Relationship Summary) - RIA
Click below to view Barbara Ann Koontz'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®
NoneExperience
Current
November 3, 2022 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3468 Liberty Rd S, Salem, OR 97302Office #2: 833 Nw Buchanan Ave Ste 6, Corvallis, OR 97330RIA
CRD#: 105644
SALEM, OR
Current
November 2, 2022 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #2: 3468 Liberty Rd S, Salem, OR 97302Office #3: 833 Nw Buchanan Ave Ste 6, Corvallis, OR 97330BD
CRD#: 10358
BROWNSVILLE, OR
Past
August 15, 2006 - October 31, 2022
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
Salem, OR
Past
August 15, 2006 - October 31, 2022
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
Salem, OR
Past
April 3, 2006 - July 25, 2006
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
ALBANY, OR
Past
June 20, 2003 - July 25, 2006
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
ALBANY, OR
Past
April 29, 1986 - June 20, 2003
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
Arizona(6/14/2023)
RR
California(1/18/2024)
RR
Indiana(11/13/2023)
RR
Kentucky(6/12/2025)
RR
Nebraska(4/12/2023)
RR
Oregon(11/3/2022)
IAR
Oregon(11/7/2022)
RR
Rhode Island(11/10/2022)
RR
Texas(11/3/2022)
IAR
Texas(11/3/2022)
RR
Washington(11/4/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Salem, OR 97302TRUST BUT VERIFY
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