Barry M. Pittenger

CETERA INVESTMENT ADVISERS LLC

BRENTWOOD, TN 37027

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CRD#: 2405032

Professional summary

Barry Matthew Pittenger is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Brentwood, Tennessee and CETERA WEALTH SERVICES, LLC located in Brentwood, Tennessee.

Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Barry has worked at 7 firms and has passed the Series 63, SIE and Series 6 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.

(dba) PITTENGER FINANCIAL CONSULTING; Investment Related; 240 Wilson Pike Circle, Suite 150, Brentwood TN 37027; Insurance; Producer/Owner; Start Date 05/2009; 40 hours per month with all 40 hours occurring during trading hours; �Offering long-term care, disability, life, and annuity insurance products. >> BARRY PITTENGER - INSURANCE; Investment Related; Insurance; 240 Wilson Pike Circle, Suite 150, Brentwood TN 37027; Insurance; Independent Insurance Agent / Principal; Start Date 09/1994; 40 hours per month with the majority of those hours per month occurring during trading hours; Provide help finding coverage for respective insurance (Life, Disability, Health, Long-Term Care, Annuity) products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Matthew Pittenger'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

February 20, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 240 Wilson Pike Circle Suite 150, Brentwood, TN 37027

RIA

CRD#: 105644

BRENTWOOD, TN

Current

February 20, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 240 Wilson Pike Circle Suite 150, Brentwood, TN 37027

CRD#: 13572

Brentwood, TN

Past

August 31, 2017 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Brentwood, TN

Past

August 29, 2017 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Brentwood, TN

Past

June 21, 2004 - July 18, 2016

INDEPENDENT ADVISERS GROUP CORP

RIA

CRD#: 106684

BRENTWOOD, TN

Past

January 30, 2004 - September 13, 2017

OSAIC FS, INC.

RIA

CRD#: 3870

BRENTWOOD, TN

Past

November 17, 2000 - September 13, 2017

OSAIC FS, INC.

CRD#: 3870

BRENTWOOD, TN

Past

December 7, 1993 - December 18, 2000

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

December 7, 1993 - December 18, 2000

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Colorado
(2/20/2025)

Florida
(2/20/2025)

Illinois
(3/3/2025)

Michigan
(7/8/2025)

Tennessee
(2/20/2025)

IAR

Tennessee
(2/20/2025)

Texas
(2/20/2025)

IAR

Texas
(4/1/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/2/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/6/1993

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Barry M. Pittenger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Matthew Pittenger's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

INDEPENDENT ADVISERS GROUP CORP

OSAIC FS, INC.

OSAIC FS, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/2/1993

SIE

Date: 10/1/2018

Series 6

Date: 12/6/1993

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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