Barbara Ann Koontz

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
OR	RA	APPROVED	2022-11-07

OR RA
APPROVED

Since 2022-11-07

Branch Locations

Brownsville, OR • United States

3468 Liberty Rd S, Salem, OR 97302 • United States

833 Nw Buchanan Ave Ste 6, Corvallis, OR 97330 • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Cuso Financial Services, L.P.	San Diego	CA	08/2006	10/2022
Maps Credit Union	Salem	OR	02/2016	10/2022
Cetera Financial Specialists	Schaumburg	IL	11/2022	Present
Cetera Investment Advisers Llc	Schaumburg	IL	11/2022	Present
Koontz, Elker, And Associates	Brownsville	OR	11/2022	Present

08/2006 → 10/2022

Cuso Financial Services, L.P.

San Diego, CA
02/2016 → 10/2022

Maps Credit Union

Salem, OR
11/2022 → Present

Cetera Financial Specialists

Schaumburg, IL
11/2022 → Present

Cetera Investment Advisers Llc

Schaumburg, IL
11/2022 → Present

Koontz, Elker, And Associates

Brownsville, OR

Previous Registrations

2006-08-15 → 2022-10-31

Cuso Financial Services, L.P.

Corvallis, OR

Corvallis, OR

Corvallis, OR

Salem, OR

Salem, OR

Salem, OR
2006-04-03 → 2006-07-25

U.S. Bancorp Investments, Inc.

Corvallis, OR

Corvallis, OR

Albany, OR

Mill City, OR

Stayton, OR

Lebanon, OR

Albany, OR

Corvallis, OR

Other Businesses

1) NAME OF OTHER BUSINESS: KOONTZ, ELKER, AND ASSOCIATES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/2022, POSITION/TITLE/RELATIONSHIP: PART OWNER APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES;; INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 05/2024; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 3; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELL LONG-TERM CARE;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-03-31
S63	Uniform Securities Agent State Law Examination	1986-04-28

S66 Uniform Combined State Law Examination

2006-03-31
S63 Uniform Securities Agent State Law Examination

1986-04-28

Other Names

Barbara Ann Whisenhunt

View on SEC IAPD