Colin T. Barber

OCEAN PARK ASSET MANAGEMENT

Santa Monica, CA 90405

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CRD#: 4238328

Professional summary

Colin Theodore Barber, who also goes by Colin Barber, is a registered financial advisor currently at OCEAN PARK ASSET MANAGEMENT, LLC located in Santa Monica, California.

Colin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Colin has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Colin Barber

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.

MR. BARBER IS A MEMBER OF THE BOARD OF DIRECTORS OF THE SANTA MONICA SURF SOCCER CLUB LOCATED AT 2015 DEWEY STREET, SANTA MONICA, CA 90405. MR. BARBER BEGAN THIS NON-INVESTMENT ACTIVITY NOVEMBER 30, 2022 AND SPENDS 10 HOURS PER MONTH PROVIDING FEEDBACK AND SUPPORT TO THE CLUB, COACHING DIRECTORS AND MEMBERS OF THE SOCCER CLUB.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colin Theodore Barber'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

October 30, 2024 - Present

OCEAN PARK ASSET MANAGEMENT, LLC

Office #1: 3420 Ocean Park Blvd. Ste 3060, Santa Monica, CA 90405

RIA

CRD#: 145634

Santa Monica, CA

Past

November 18, 2015 - December 23, 2024

SIERRA INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106615

SANTA MONICA, CA

Past

October 30, 2015 - July 2, 2025

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

May 10, 2010 - September 9, 2015

AST INVESTMENT SERVICES, INC.

RIA

CRD#: 108897

SHELTON, CT

Past

May 10, 2010 - September 9, 2015

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

November 3, 2009 - April 29, 2010

DIRECTED SERVICES LLC

RIA

CRD#: 21675

WEST CHESTER, PA

Past

September 25, 2000 - April 29, 2010

DIRECTED SERVICES LLC

CRD#: 21675

WEST CHESTER, PA

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".

OCEAN PARK ASSET MANAGEMENT, LLC

OCEAN PARK ASSET MANAGEMENT, LLC | WRIGHT FUND MANAGEMENT, LLC | SIERRA MUTUAL FUNDS | OCEAN PARK MUTUAL FUNDS | OCEAN PARK ETFS

CRD#: 145634 / SEC#: 801-68554

RIA

Registered Investment Advisory firm - (11/30/2007 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.

Highlighted states indicate IAR registrations

IAR

California
(10/30/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/2/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/2/2000

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: 9/22/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

OCEAN PARK ASSET MANAGEMENT, LLC

OCEAN PARK ASSET MANAGEMENT, LLC | WRIGHT FUND MANAGEMENT, LLC | SIERRA MUTUAL FUNDS | OCEAN PARK MUTUAL FUNDS | OCEAN PARK ETFS

CRD#: 145634 / SEC#: 801-68554

RIA

Registered Investment Advisory firm - (11/30/2007 Approved)

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Contact information

Main Address

3420 Ocean Park Blvd. Ste 3060, Santa Monica, CA 90405

Mailing Address

Phone number

(310) 452-1887

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OCEAN PARK ASSET MANAGEMENT, LLC FORM ADV PART 2A BROCHURE (3/31/2025)

OCEAN PARK ASSET MANAGEMENT, LLC JOINT ADVISORY PROGRAM WRAP FEE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	292
AUM (Assets Under Management)	$ 4,872,145,667

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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Advisor Monitoring

Firm Stability Insights

Colin T. Barber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colin Theodore Barber's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIERRA INVESTMENT MANAGEMENT, LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

AST INVESTMENT SERVICES, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

DIRECTED SERVICES LLC

DIRECTED SERVICES LLC

Primary Firm SEC Registration

OCEAN PARK ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/2/2009

Series 63

Date: 10/2/2000

SIE

Date: 10/1/2018

Series 6

Date: 9/22/2000

Current Firm

OCEAN PARK ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OCEAN PARK ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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