Charles Smyth Barker

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2007-03-07 → 2013-09-03
  Walnut Street Securities, Inc.
  St. Louis, MO
  St Louis, MO
  St Louis, MO

Other Businesses

(1) NAME OF OTHER BUSINESS: COMMITTEE TO ELECT PHILIP OEHLERKING; INVESTMENT RELATED: NO; ADDRESS: 343 QUAIL VILLAGE CT BALLWIN, MO 63021; NATURE OF BUSINESS: POLITICAL CAMPAIGN ; START DATE: 12/2021; POSITION/TITLE/RELATIONSHIP: TREASURER ; APX NUMBER OF HOURS PER WEEK: 3 ; APX NUMBER OF HOURS DURING TRADING HOURS: 3 ; BRIEF DESCRIPTION OF DUTIES: RESPONSIBLE FOR SIGNING AND FILING FINANCIAL REPORTS WITH THE STATE, WILL BE PROCESSING DEPOSITS AND DISPURSEMENTS FOR CAMPAIGN; (2) NAME OF OTHER BUSINESS: COMMITTEE TO ELECT PHILIP OEHLERKING; INVESTMENT RELATED: NO; ADDRESS: 343 QUAIL VILLAGE CT BALLWIN, MO 63021; NATURE OF BUSINESS: POLITICAL CAMPAIGN ; START DATE: 12/2021; POSITION/TITLE/RELATIONSHIP: FUNDRAISER ; APX NUMBER OF HOURS PER WEEK: 3 ; APX NUMBER OF HOURS DURING TRADING HOURS: 3 ; BRIEF DESCRIPTION OF DUTIES: WILL BE SOLICITING DONATIONS ON BEHALF OF THE POLITICAL CAMPAIGN;

Exams

• S66 Uniform Combined State Law Examination
  2007-02-27
• S63 Uniform Securities Agent State Law Examination
  1988-04-27

Other Names

• Chuck Barker