Brian Simkin

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
IL	RA	APPROVED	2009-03-04

IL RA
APPROVED

Since 2009-03-04

Branch Locations

Arlington Heights, IL • 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

Organization	City	State	From	To
Cetera Financial Specialists Llc	Schaumburg	IL	10/2008	Present
Crate And Barrel	Northbrook	IL	02/2003	Present
Cetera Investment Advisers Llc	Schaumburg	IL	09/2008	Present

10/2008 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
02/2003 → Present

Crate And Barrel

Northbrook, IL
09/2008 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Other Businesses

1) CRATE AND BARREL; NOT INV REL; 1250 TECHNY ROAD NORTHBROOK IL; RETAIL BUSINESS; TREASURY ANALYST SINCE 2/17/03; 40 HRS/WK; DUTIES INCL BANKING, ACCTNG, GENL FINANCE: 2) SIMKIN FINANCIAL ADVISORS, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 9/2015, INVESTMENT ADVISOR, APX 25 HOURS PER WEEEK, DURING TRADING HOURS, INVESTMENT ADVISOR SERVICES.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-03-03

S66 Uniform Combined State Law Examination

2009-03-03

View on SEC IAPD