Robin C. Barclay
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robin Cole Barclay, who also goes by Robin C Barclay, Robin Faith Barclay, Robin F Cole, Robin Faith Cole, was a registered financial advisor .
Robin is a previously registered financial advisor and started their career in finance in 2006. Robin had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2015 - July 16, 2015
CETERA INVESTMENT ADVISERS LLC
January 16, 2015 - July 16, 2015
CETERA INVESTMENT SERVICES LLC
July 16, 2014 - December 2, 2014
CETERA INVESTMENT ADVISERS LLC
April 30, 2013 - January 29, 2014
CETERA INVESTMENT SERVICES LLC
March 20, 2013 - December 2, 2014
CETERA INVESTMENT SERVICES LLC
December 8, 2011 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
August 30, 2011 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
August 25, 2006 - March 17, 2011
TRUIST INVESTMENT SERVICES, INC.
May 30, 2006 - March 17, 2011
TRUIST INVESTMENT SERVICES, INC.
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
Exams
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.
