Brent Dion Williams

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
MA	RA	APPROVED	2024-03-21
TX	RA	APPROVED_RES	2024-03-21

MA RA
APPROVED

Since 2024-03-21
TX RA
APPROVED_RES

Since 2024-03-21

Branch Locations

North Easton, MA • United States

Disclosures

1 disclosure category 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 No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Investors Capital Corp	Lynnfield	MA	01/2014	10/2016
Cetera Advisors Llc	Denver	CO	10/2016	Present
Dba Financial Management Group	North Easton	MA	04/2009	Present
Wayside Presbyterian Church	Signal Mountain	TN	12/2014	Present
Cetera Investment Advisers Llc	Schaumburg	IL	03/2024	Present

01/2014 → 10/2016

Investors Capital Corp

Lynnfield, MA
10/2016 → Present

Cetera Advisors Llc

Denver, CO
04/2009 → Present

Dba Financial Management Group

North Easton, MA
12/2014 → Present

Wayside Presbyterian Church

Signal Mountain, TN
03/2024 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2014-01-13 → 2016-10-03

Investors Capital Corp.

Lynnfield, MA

North Easton, MA

Lynnfield, MA
2011-01-10 → 2014-01-27

Bolton Securities Corporation

North Easton, MA

Bolton, MA
2009-05-22 → 2010-12-31

Bolton Securities Corporation

N. Easton, MA

Bolton, MA
2003-09-19 → 2009-06-02

Ubs Financial Services Inc.

Boston, MA

Boston, MA

Rockland, MA
1999-05-24 → 2003-09-24

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Other Businesses

1.NAME OF OTHER BUSINESS: BRENT WILLIAMS ENTERPRISES - NEXTGEN CAMPS LLC, INVESTMENT RELATED: NO, ADDRESS: 14 TAIT AVENUE NORTH EASTON, MA 02356, NATURE OF BUSINESS: YOUTH FOOTBALL CAMPS, START DATE: 1/2014, APX NUMBER OF HOURS PER WEEK: 15, APX NUMBER OF TRADING HOURS PER WEEK: 15, POSITION/TITLE/RELATIONSHIP: FOUNDER/CEO, BRIEF DESCRIPTION OF DUTIES: MANAGE 20-25 NATIONWIDE CAMPS; 2.NAME OF OTHER BUSINESS: CATHOLIC MEMORIAL HS, INVESTMENT RELATED: NO, ADDRESS: 235 BAKER ST W. ROKBURY, MA, NATURE OF BUSINESS: HIGH SCHOOL, START DATE: 9/2013, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF TRADING HOURS PER WEEK: 2, POSITION/TITLE/RELATIONSHIP: BOARD ADVISOR, BRIEF DESCRIPTION OF DUTIES: BOARD OF DIRECTORS;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-07-24
S63	Uniform Securities Agent State Law Examination	1997-07-15

S65 Uniform Investment Adviser Law Examination

1997-07-24
S63 Uniform Securities Agent State Law Examination

1997-07-15

View on SEC IAPD