David John Barrett

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:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2016-04-13

NJ RA
APPROVED

Since 2016-04-13

Branch Locations

River Vale, NJ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Teaneck Township	Teaneck	NJ	10/1994	04/2020
Cetera Financial Specialists Llc	Schaumburg	IL	10/2005	Present
Cetera Investment Advisers	St Cloud	MN	04/2016	Present

10/1994 → 04/2020

Teaneck Township

Teaneck, NJ
10/2005 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
04/2016 → Present

Cetera Investment Advisers

St Cloud, MN

Other Businesses

1) NAME OF OTHER BUSINESS: N/A ; INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: FAMILY WILL ; START DATE: 01/2021 ; POSITION/TITLE/RELATIONSHIP: EXECUTOR ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: EXECUTOR TO BOTH PARENTS WILLS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-04-07
S63	Uniform Securities Agent State Law Examination	1998-08-20

S65 Uniform Investment Adviser Law Examination

2016-04-07
S63 Uniform Securities Agent State Law Examination

1998-08-20

View on SEC IAPD