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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
ND RA APPROVED 2023-08-10
  • ND RA
    APPROVED
    Since 2023-08-10

Branch Locations

4431 Memorial Hwy, Mandan, ND 58554 • 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
OrganizationCityStateFromTo
Minnesota Life Ins Co St Paul MN 05/2003 08/2023
Securian Financial Services, Inc St Paul MN 05/2003 08/2023
Securian Financial Advisors Of North Dakota Mandan ND 05/2003 Present
Brian Neuhardt Mandan ND 09/2003 Present
Investech Saginaw MI 05/2003 Present
Cetera Wealth Services, Llc Mandan ND 08/2023 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2023 Present
  • 05/2003 → 08/2023
    Minnesota Life Ins Co
    St Paul, MN
  • 05/2003 → 08/2023
    Securian Financial Services, Inc
    St Paul, MN
  • 05/2003 → Present
    Securian Financial Advisors Of North Dakota
    Mandan, ND
  • 09/2003 → Present
    Brian Neuhardt
    Mandan, ND
  • 05/2003 → Present
    Investech
    Saginaw, MI
  • 08/2023 → Present
    Cetera Wealth Services, Llc
    Mandan, ND
  • 08/2023 → Present
    Schaumburg, IL
Previous Registrations
  • 2003-06-10 → 2023-08-10
    Securian Financial Services, Inc.
    Mandan, ND
    Mandan, ND
    St. Paul, MN
  • 2000-06-07 → 2003-05-22
    Bismarck, ND
Other Businesses

1) BISMARCK PUBLIC SCHOOLS POSITION: Employee NATURE: Sport Coach/Referee INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 6 START DATE: 03/01/2012 ADDRESS: , Bismarck ND , United States DESCRIPTION: Employee 2) BISMARCK YOUTH FASTPITCH SOFTBALL ASSN POSITION: Officer NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2009 ADDRESS: , Bismarck ND , United States DESCRIPTION: Officer 3) INVESTECH POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2003 ADDRESS: , Saginaw MI , United States DESCRIPTION: Agent/Broker 4) SAND FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 09/01/2003 ADDRESS: , Mandan ND , United States DESCRIPTION: Agent/Broker 5) USA SOFTBALL POSITION: Officer NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2014 ADDRESS: , Bismarck ND , United States DESCRIPTION: Officer 6) NAME OF OTHER BUSINESS: LUX WEALTH ADVISORS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 08/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 7) POA INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: POA FOR FAMILY MEMBER START DATE: 12/7/22 POSITION/TITLE/RELATIONSHIP: MOTHER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PAY HER BILLS, MANAGE HER INVESTMENTS MEDICAL DECISIONS

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-11-05
  • S66 Uniform Combined State Law Examination
    1998-11-05
Other Names
  • Brian Grant Newhardt
  • Brian G Neuhardt

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