Roberto J. Barone
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.
Roberto Joseph Barone, who also goes by Bob Barone, was a registered financial professional .
Roberto is a previously registered financial professional and started their career in finance in 1978. Roberto had worked at 10 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - December 31, 2024
CETERA INVESTMENT ADVISERS LLC
April 3, 2001 - June 29, 2023
CETERA WEALTH SERVICES, LLC
March 19, 2001 - December 31, 2024
CETERA WEALTH SERVICES, LLC
April 17, 1997 - March 20, 2001
OGILVIE SECURITY ADVISORS CORPORATION
January 16, 1997 - April 22, 1997
OSAIC WEALTH, INC.
October 30, 1996 - January 21, 1997
JOHN HANCOCK DISTRIBUTORS LLC
January 22, 1996 - September 17, 1997
SECURIAN FINANCIAL SERVICES, INC.
January 6, 1993 - September 17, 1997
SECURIAN FINANCIAL SERVICES, INC.
February 18, 1988 - December 31, 1992
VP DISTRIBUTORS LLC
July 30, 1984 - January 22, 1988
GUARDIAN INVESTOR SERVICES LLC
November 13, 1980 - July 16, 1984
WOODBURY FINANCIAL SERVICES, INC.
September 18, 1978 - December 19, 1980
MUTUAL OF OMAHA INVESTOR 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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 9/8/1978
Registered 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
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.
