Howard C. Barto
Professional summary
Howard Christian Barto, CFP®, who also goes by Chris Barto, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Spokane, Washington and CETERA INVESTMENT SERVICES LLC located in Spokane, Washington.
Howard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Howard has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Howard Christian Barto's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2018
Experience
May 10, 2018 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 717 West Sprague Avenue, Spokane, WA 99201May 10, 2018 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 717 West Sprague Avenue, Spokane, WA 99201June 17, 2016 - April 23, 2018
PRINCIPAL SECURITIES, INC.
June 2, 2016 - April 23, 2018
PRINCIPAL SECURITIES, INC.
April 13, 2015 - May 5, 2015
KEYBANC CAPITAL MARKETS INC.
February 2, 2005 - April 13, 2015
PACIFIC CREST SECURITIES 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.
Visual representation of state registrations
(7/14/2023)
(5/10/2018)
(10/25/2021)
(6/12/2023)
(10/5/2021)
(7/5/2023)
(5/10/2018)
(5/10/2018)
(3/19/2021)
(5/10/2018)
(5/10/2018)
Exams
Series 55
Date: 2/23/2005
Limited Representative-Equity Trader ExamFINRA
Current 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
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.
