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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

BARRY JOSEPH QUEEN

Advisor at CETERA INVESTMENT ADVISERS LLC

Pasadena, CA

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Search this name across graphsid dfx:ria:d0a83b7e-1f31-a6f6-0638-e87cc95b80f5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 4, 2017 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Dec 18, 2012
First registration: May 4, 2017
Dual registered: yes, broker-dealer
Other names: BARRY QUEEN|BARRY J QUEEN|BARRY J QUEEN
IAPD individual key: 5715369

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	n/a	yes	Pasadena, CA	Current employment
FIRST FINANCIAL EQUITY CORPORATION	Former SEC adviser	Jan 26, 2021	Apr 20, 2022	no	New York, NY\|SCOTTSDALE, AZ\|New York, NY\|Pasadena, CA	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Jan 13, 2020	Jan 28, 2021	no	FOREST LAKE, MN\|New York, NY\|NEW YORK, NY	Previous registration
EAGLE STRATEGIES LLC	Bd affiliated wealth	May 4, 2017	Jan 8, 2020	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIRST FINANCIAL EQUITY CORPORATION	CETERA INVESTMENT ADVISERS LLC	Apr 20, 2022	Jun 29, 2023	435	Bulk transfer	Ibd to ibd
SAGEPOINT FINANCIAL, INC.	FIRST FINANCIAL EQUITY CORPORATION	Jan 28, 2021	Jan 26, 2021	-2	Firm change	Ibd to ibd
EAGLE STRATEGIES LLC	SAGEPOINT FINANCIAL, INC.	Jan 8, 2020	Jan 13, 2020	5	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ FIRST FINANCIAL EQUITY CORPORATIONRegistered adviserregistration: previous registration
Jan 26, 2021 to Apr 20, 2022factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Jan 13, 2020 to Jan 28, 2021factForm ADV
→ EAGLE STRATEGIES LLCRegistered adviserregistration: previous registration
May 4, 2017 to Jan 8, 2020factForm ADV

Dated events

No dated event names this entity yet.