Barton Raymond Ketterling

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 03/1988 → Present
  Self-Employed Tax & Accounting
  Ventura, CA
• 01/1991 → Present
  Wm. "Al" Muskat, Cfp
  Calabasas, CA
• 07/2009 → Present
  Commonwealth Financial Network
  Waltham, MA

Previous Registrations

• 2007-01-04 → 2009-07-02
  Cetera Wealth Services, Llc
  Ventura, CA
  Ventura, CA

Other Businesses

1. Owner, Main Street Financial Services, LLC, entity created for tax preparation business, at branch location, not investment related. 2. Co-Owner, Rancho Buena Vista Properties, LLC, private entity for developing lots; buy, remodel & sell real estate; own &manage rental properties; Located in Oxnard, CA; as of 02/01/12; less than 5% time spent; Conducted at branch; Investment Rel. 3. Co-owner, Conejo Vista Equities, LLC, an entity created for the purpose of owning various single family properties in Oxnard, CA, as of 7/01/2012; Less than 5% time spent during business hours; Conducted at branch; Investment related. 4. Owner and president of Executec Solutions, LLC, entity created to operate payroll for tax preparation firm, Main Street Financial Services, LLC; as of 01/15/2016; Approximately 2% time spent during business hours; not investment related; conducted at branch location. 5. Selling fixed insurance, 1% of time during business hours, Investment related and conducted from branch. 6. Co-Owner, 613 C Street, LLC an entity created for the purpose of managing residential rental real estate properties in Oxnard, CA, as of 08/22/2017; Approximately 2% time spent during securities trading hours per month; Conducted at branch location; Investment related.

Exams

• S66 Uniform Combined State Law Examination
  2006-11-08
• S63 Uniform Securities Agent State Law Examination
  1998-09-08