BF
Barry M. Falter
CETERA INVESTMENT ADVISERS LLC
LINCOLN, NE 68516
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CRD#: 2255288
BF
Professional summary
Barry Micael Falter is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lincoln, Nebraska and CETERA WEALTH SERVICES, LLC located in Lincoln, Nebraska.
Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Barry has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 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) FALTER WEALTH MANAGEMENT SERVICES; NOT INVESTMENT RELATED; 8911 WHISPERING WIND ROAD, LINCOLN, NE 68512; LIFE INSURANCE; BEGAN 09/01/2015; 1 HOUR PER WEEK; SOLD A LEVEL TERM POLICY FROM BANNER LIFE. (2) RENTAL PROPERTIES; NOT INVESTMENT RELATED; 8911 WHISPERING WIND ROAD, LINCOLN, NE 68512; SINGLE FAMILY RENTAL PROPERTIES; OWNER; STARTED 12/30/2003; APX 1 HOUR/MONTH, NONE DURING TRADING; APPROVE RENTERS PRESENTED BY REAL ESTATE AGENT, APPROVE ANY PROPERTY MAINTENANCE NECESSARY; (3) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO, ADDRESS: 6114 S 81ST STREET, LINCOLN, NE 68512, NATURE OF BUSINESS: REAL ESTATE, START DATE: 09/2009, POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: .5, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: APPROVE RENTERS AND MAINTENANCE; (4) NAME OF OTHER BUSINESS: BMF ISABELLA LLC , INVESTMENT RELATED: NO, ADDRESS: 2146 W ISABELLA AVE 236, MESA, AZ 85202 NATURE OF BUSINESS: REAL ESTATE, START DATE: 10/2013, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: .5, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: APPROVE RENTERS AND MAINTENANCE; (5) NAME OF OTHER BUSINESS: BMF S WESTWOOD LLC, BMF N ALMA LLC, BMF PHX LLC, BMF UNIVERSITY LLC, BMF BUCKEYE, LLC, BMF GILBERT LLC, BMF AV LLC INVESTMENT RELATED: NO, ADDRESS: AZ CITIES, OF MESA, PHOENIX, BUCKEYE, GILBERT & AVONDALE, NATURE OF BUSINESS: REAL ESTATE, START DATE:12/2003 - 08/2015, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 4, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: APPROVE RENTERS AND MAINTENANCE;
CRS (Client Relationship Summary) - RIA
Click below to view Barry Micael Falter'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 #1: Lincoln Trade Center 5930 S 58th St Ste C, Lincoln, NE 68516RIA
CRD#: 105644
LINCOLN, NE
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
LINCOLN, NE
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
September 1, 2016 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
LINCOLN, NE
Past
September 1, 2016 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
LINCOLN, NE
Past
March 12, 2004 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
LINCOLN, NE
Past
March 10, 2004 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
LINCOLN, NE
Past
October 10, 2003 - March 10, 2004
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
LINCOLN, NE
Past
May 2, 2002 - March 10, 2004
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
TAMPA, FL
Past
October 8, 1997 - May 24, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LINCOLN, NE
Past
August 6, 1992 - May 24, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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(9/20/2019)
RR
California(9/20/2019)
RR
Colorado(5/21/2025)
RR
Nebraska(9/20/2019)
IAR
Nebraska(6/29/2023)
RR
Texas(9/20/2019)
IAR
Texas(6/29/2023)
Exams
State Security Law Exam
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
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
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.
