Joseph M. Barr

CETERA INVESTMENT ADVISERS LLC

SOUTH JORDAN, UT

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CRD#: 5380766

Professional summary

Joseph Matthew Barr, who also goes by Joe Barr, Joseph Barr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in South Jordan, Utah and CETERA FINANCIAL SPECIALISTS LLC located in South Jordan, Utah.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Joseph has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Barr | Joseph Barr

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.

1)PINNACLE PEAK FINANCIAL, LLC, INVESTMENT RELATED, ADDRESS IS THE SAME AS THE REGISTERED BRANCH, OWNER, FINANCIAL ADVISOR, DBA FOR FINANCIAL SERVICES AND INSURANCE BUSINESS, 40H/WEEK, SINCE 05/2019.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Matthew Barr'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

June 24, 2019 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SOUTH JORDAN, UT

Current

June 24, 2019 - Present

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SOUTH JORDAN, UT

Past

June 27, 2018 - June 25, 2019

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

IRVINE, CA

Past

June 5, 2018 - June 25, 2019

PRUCO SECURITIES, LLC.

CRD#: 5685

IRVINE, CA

Past

June 1, 2015 - June 18, 2018

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

SPOKANE, WA

Past

June 1, 2015 - June 18, 2018

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

SPOKANE, WA

Past

May 6, 2014 - May 1, 2015

PINNACLE PEAK FINANCIAL LLC

RIA

CRD#: 169348

GREENACRES, WA

Past

August 6, 2009 - July 2, 2013

HARRISDIRECT LLC

RIA

CRD#: 42159

ARLINGTON, VA

Past

August 6, 2009 - July 2, 2013

E*TRADE SECURITIES LLC

CRD#: 29106

COSTA MESA, CA

Past

December 9, 2008 - July 14, 2009

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

PHOENIX, AZ

Past

January 7, 2008 - December 31, 2008

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

PHOENIX, AZ

Past

October 4, 2007 - July 14, 2009

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

PHOENIX, AZ

Past

September 20, 2007 - December 31, 2007

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

PHOENIX, AZ

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

Arizona
(6/24/2019)

California
(6/24/2019)

IAR

California
(6/24/2019)

Colorado
(3/20/2025)

Florida
(8/18/2021)

Hawaii
(1/5/2024)

Idaho
(1/2/2021)

Mississippi
(9/11/2024)

Montana
(2/6/2024)

Nevada
(9/18/2019)

New Mexico
(1/29/2024)

New York
(1/22/2021)

Oklahoma
(9/11/2024)

Texas
(9/11/2024)

IAR

Texas
(9/12/2024)

Utah
(6/16/2022)

IAR

Utah
(7/27/2022)

Washington
(6/24/2019)

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

IAR

Series 66

Date: 12/4/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/2007

General Securities 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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Advisor Monitoring

Firm Stability Insights

Joseph M. Barr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Matthew Barr's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

PINNACLE PEAK FINANCIAL LLC

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

USAA FINANCIAL PLANNING SERVICES

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL ADVISORS, INC.

USAA INVESTMENT SERVICES COMPANY

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/4/2007

SIE

Date: 10/1/2018

Series 7

Date: 9/19/2007

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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