Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roberto? Claim Your ProfileRoberto Joseph Barone is a financial advisor with over 40 years of experience in the industry. He has been registered with Cetera Investment Advisers LLC since June 2023, and previously worked with Ogilvie Security Advisors Corporation, MIMLIC Sales Corporation, Royal Alliance Associates, Inc., Manequity, Inc., Phoenix Equity Planning Corporation, Guardian Investor Services Corporation, St. Paul Investors, Inc., and Mutual of Omaha Fund Management Company. Roberto holds Series 1, 6, 7, 63, 65, 6TO, and SIE licenses. Roberto specializes in a variety of financial services, including financial planning, pension consulting, and educational seminars. He also provides portfolio management services for individuals and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CA
06/29/2023 - Present
Cetera Investment Advisers LLC (REDWOOD CITY CA)
IL
04/17/1997 - 03/20/2001
OGILVIE SECURITY ADVISORS CORPORATION (CHICAGO IL)
NA
01/22/1996 - 09/17/1997
MIMLIC SALES CORPORATION
MN
01/06/1993 - 09/17/1997
MIMLIC SALES CORPORATION (ST. PAUL MN)
AZ
01/16/1997 - 04/22/1997
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
MA
10/30/1996 - 01/21/1997
MANEQUITY, INC. (BOSTON MA)
CT
02/18/1988 - 12/31/1992
PHOENIX EQUITY PLANNING CORPORATION (HARTFORD CT)
NA
07/30/1984 - 01/22/1988
GUARDIAN INVESTOR SERVICES CORPORATION
NA
11/13/1980 - 07/16/1984
ST. PAUL INVESTORS, INC.
NA
09/18/1978 - 12/19/1980
MUTUAL OF OMAHA FUND MANAGEMENT COMPANY
BC
Issued 12/27/2000
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/15/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/2/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/1/1997
Series 7 - General Securities Representative Examination
BC
Issued 9/8/1978
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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