Ratnajit P. Barva
Professional summary
Ratnajit Phillip Barva, who also goes by Phillip Ratnajit Barva, Phillip Barva, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in El Segundo, California and CETERA INVESTMENT SERVICES LLC located in El Segundo, California.
Ratnajit is registered as a RR (Registered Representative) and started their career in finance in 1995. Ratnajit has worked at 15 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ratnajit Phillip Barva's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 10, 2012 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245August 7, 2015 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245August 7, 2015 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245August 7, 2015 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245September 8, 2015 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
September 8, 2015 - November 9, 2016
INVESTORS CAPITAL CORP.
September 8, 2015 - December 14, 2016
LEGEND EQUITIES CORPORATION
September 8, 2015 - November 1, 2017
GIRARD SECURITIES, INC.
September 8, 2015 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
September 8, 2015 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
April 13, 2005 - September 1, 2010
CETERA ADVISORS LLC
March 11, 2005 - September 1, 2010
CETERA WEALTH SERVICES, LLC
May 30, 2003 - July 22, 2003
FIRST REPUBLIC SECURITIES COMPANY, LLC
May 14, 2001 - August 13, 2001
IMPERIAL CAPITAL, LLC
July 30, 1997 - May 15, 2001
NATIONAL CLEARING CORP.
September 6, 1995 - June 6, 1997
THE CAMELOT GROUP, INC.
May 17, 1995 - August 30, 1995
SECURITIES WEST, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/10/2012)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/20/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
Red Flags
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