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Barry J. Laufman
CETERA INVESTMENT ADVISERS LLC
OXNARD, CA
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CRD#: 2004416
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Professional summary
Barry Jay Laufman is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oxnard, California and CETERA WEALTH SERVICES, LLC located in Oxnard, California.
Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Barry has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 24 and Series 27 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) INDEPENDENT INSURANCE AGENT DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE FOR 30HRS/WK & 5HRS EVENING & WKENDS SINCE 1993
2) NAME OF OTHER BUSINESS: DBA ADVANCED LTC INSURANCE SERVICES, LLC
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: INSURANCE AGENCY
START DATE: 1/93
APX NUMBER OF HOURS PER WEEK: 30
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
BRIEF DESCRIPTION OF DUTIES: FIXED INSURANCE SALES
3. NAME OF OTHER BUSINESS: N/A
INVESTMENT RELATED: NO,
ADDRESS: 1945 NORTHWESTERN DR, EL PASO, TX, 79912
NATURE OF BUSINESS: POWER OF ATTORNEY
START DATE: 02/2020
POSITION/TITLE/RELATIONSHIP: HOLDER
APX NUMBER OF HOURS PER WEEK: 1, DURING TRADING HOURS,
BRIEF DESCRIPTION OF DUTIES: POWER OF ATTORNEY FOR FATHER IN LAW
CRS (Client Relationship Summary) - RIA
Click below to view Barry Jay Laufman'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 22335 Delia Ct., Calabasas, CA 91302RIA
CRD#: 105644
OXNARD, CA
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
OXNARD, CA
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SANTA BARBARA, CA
Past
April 5, 2000 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
GLENDALE, CA
Past
September 10, 1997 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
GLENDALE, CA
Past
July 30, 1993 - November 8, 1995
GLOBALCOMM SECURITIES, INC.
BD
CRD#: 13228
Past
November 21, 1989 - June 23, 1993
JMC INVESTMENT SERVICES, INC.
BD
CRD#: 14376
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
Arizona(3/20/2017)
RR
Arkansas(7/14/2022)
RR
California(9/3/2013)
IAR
California(6/29/2023)
RR
Colorado(5/24/2018)
RR
Florida(9/3/2013)
RR
Georgia(9/3/2013)
RR
Hawaii(9/3/2013)
RR
Illinois(2/26/2019)
RR
Iowa(9/3/2013)
RR
Maryland(1/2/2015)
RR
Montana(1/28/2021)
RR
Nevada(9/3/2013)
RR
New Mexico(7/9/2021)
RR
Oregon(12/9/2021)
RR
Pennsylvania(2/8/2021)
RR
Tennessee(9/23/2019)
RR
Texas(9/3/2013)
IAR
Texas(6/29/2023)
RR
Virginia(2/26/2019)
RR
Washington(9/3/2013)
RR
Wisconsin(1/6/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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.
