Edwin A. Barretto

DELTA INVESTMENT MANAGEMENT

San Francisco, CA 94111

Some features on this profile are disabled

CRD#: 1708772

Professional summary

Edwin Anthony Barretto, who also goes by Eddie Barretto, is a registered financial advisor currently at DELTA INVESTMENT MANAGEMENT, LLC located in San Francisco, California.

Edwin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Edwin has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eddie Barretto

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edwin Anthony Barretto's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 7, 2019 - Present

DELTA INVESTMENT MANAGEMENT, LLC

Office #1: 708 Montgomery Street, San Francisco, CA 94111

RIA

CRD#: 149596

San Francisco, CA

Past

June 29, 2017 - March 12, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

SAN FRANCISCO, CA

Past

December 7, 2016 - March 12, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

SAN FRANCISCO, CA

Past

February 21, 2007 - July 14, 2016

BTIG, LLC

CRD#: 122225

SAN FRANCISCO, CA

Past

December 21, 2005 - May 31, 2007

SHARPE 4 SECURITIES, LLC

CRD#: 136353

SAN FRANCISCO, CA

Past

November 10, 2004 - October 6, 2006

BTIG, LLC

CRD#: 122225

SAN FRANCISCO, CA

Past

April 19, 2004 - November 2, 2004

COWEN PRIME SERVICES TRADING LLC

CRD#: 23857

NEW YORK, NY

Past

October 31, 2002 - April 16, 2004

TERRA NOVA FINANCIAL, LLC

CRD#: 37761

NEW YORK, NY

Past

October 1, 1997 - April 19, 2002

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

September 20, 1989 - October 1, 1997

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

Past

August 11, 1987 - August 29, 1989

FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.

CRD#: 16116

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".

DELTA INVESTMENT MANAGEMENT, LLC

CRD#: 149596 / SEC#: 801-114006

RIA

Registered Investment Advisory firm - (9/19/2018 Approved)

California

Registered Investment Advisory firm - (11/13/2018 Terminated)

Colorado

Registered Investment Advisory firm - (10/26/2018 Terminated)

Illinois

Registered Investment Advisory firm - (9/19/2018 Terminated)

Nevada

Registered Investment Advisory firm - (11/29/2018 Terminated)

Texas

Registered Investment Advisory firm - (10/14/2018 Terminated)

Washington

Registered Investment Advisory firm - (10/21/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(3/7/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/10/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/18/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/22/1998

General Securities Principal Examination

Current Firm

DELTA INVESTMENT MANAGEMENT, LLC

CRD#: 149596 / SEC#: 801-114006

RIA

Registered Investment Advisory firm - (9/19/2018 Approved)

California

Registered Investment Advisory firm - (11/13/2018 Terminated)

Colorado

Registered Investment Advisory firm - (10/26/2018 Terminated)

Illinois

Registered Investment Advisory firm - (9/19/2018 Terminated)

Nevada

Registered Investment Advisory firm - (11/29/2018 Terminated)

Texas

Registered Investment Advisory firm - (10/14/2018 Terminated)

Washington

Registered Investment Advisory firm - (10/21/2018 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

708 Montgomery Street, San Francisco, CA 94111

Mailing Address

204 E. 2nd Avenue, #906, San Mateo, CA 94401

Phone number

(415) 249-6337

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (6/13/2025)

BROCHURE SUPPLEMENT - ANDREW HOUGHTON (6/13/2025)

BROCHURE SUPPLEMENT - NICHOLAS ATKESON (6/13/2025)

Regulatory assets under management

Total Number of Accounts	2,625
AUM (Assets Under Management)	$ 770,787,222

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.

Similar Advisors

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Maximilian Soares

J.P. MORGAN SECURITIES LLC

San Francisco, CA

Jason Fang

TERRAFIRMA WEALTH PARTNERS

IAR

WALNUT CREEK, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Edwin A. Barretto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edwin Anthony Barretto's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BTIG, LLC

SHARPE 4 SECURITIES, LLC

BTIG, LLC

COWEN PRIME SERVICES TRADING LLC

TERRA NOVA FINANCIAL, LLC

BANC OF AMERICA SECURITIES LLC

MONTGOMERY SECURITIES

FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.

Primary Firm SEC Registration

DELTA INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/10/1989

SIE

Date: 10/1/2018

Series 7

Date: 7/18/1987

Series 24

Date: 5/22/1998

Current Firm

DELTA INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DELTA INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors