Barbara M. Ernst
Professional summary
Barbara Mincher Ernst, CFP®, who also goes by Barb Ernst, Barbara Lyons, Barbara J Mincher, Barbara Jayne Mincher, Barbara Jayne Mincher Ernest, Barbara Jayne Mincher Ernst, Barbara Jayne Mincher-ernst, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Concord, California.
Barbara is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Barbara has worked at 4 firms and has passed the Series 66, Series 63, Series 52TO, Series 7TO, Series 6TO, SIE, Series 7, Series 6, Series 24, Series 26 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Barbara Mincher Ernst's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 9, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1390 Willow Pass Rd Ste 900, Concord, CA 94520August 5, 2014 - October 18, 2021
ALLSTATE FINANCIAL SERVICES, LLC
August 4, 2014 - October 18, 2021
ALLSTATE FINANCIAL ADVISORS, LLC
July 8, 2014 - October 18, 2021
EVERLAKE DISTRIBUTORS, LLC
May 22, 2013 - December 31, 2013
ALLSTATE FINANCIAL ADVISORS, LLC
March 15, 2012 - March 13, 2013
ALLSTATE FINANCIAL ADVISORS, LLC
May 18, 2011 - December 31, 2013
EVERLAKE DISTRIBUTORS, LLC
December 7, 1999 - May 24, 2011
ALLSTATE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/9/2025)
(9/9/2025)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 7/3/2022
General Securities Representative ExaminationSeries 6TO
Date: 7/3/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Concord, CA 94520TRUST BUT VERIFY
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