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Brian Theodore Holmes

Cetera Investment Advisers LLC

Painesville, OH

CRD 2214167

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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

AuthorityCategoryStatusDate
OH RA APPROVED 2024-03-21
  • OH RA
    APPROVED
    Since 2024-03-21

Branch Locations

Painesville, OH • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Advisors Llc Painesville OH 09/2009 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 Present
Other Businesses

1. FIXED INSURANCE AGENT 2. HOLMES AND ASSOCIATES ASSET MANAGEMENT, DBA NAME FOR FINANCIAL SERVICES, START MARCH 2008

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-10
S63 Uniform Securities Agent State Law Examination 1998-07-27
  • S65 Uniform Investment Adviser Law Examination
    1999-12-10
  • S63 Uniform Securities Agent State Law Examination
    1998-07-27

View on SEC IAPD

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