Brian M Sauers

Current Employers

Employment History

• 01/2004 → Present
  Davie Kaplan, Cpa, P.C.
  Rochester, NY
• 12/2014 → 10/2019
  1St Global Capital Corp
  Rochester, NY
• 12/2014 → 10/2019
  1St Global Advisors, Inc
  Rochester, NY
• 12/2014 → Present
  Dkcb Financial Advisors, Llc
  Rochester, NY
• 07/2017 → 09/2025
  Avantax Insurance Services, Inc.
  Rochester, NY
• 10/2019 → 09/2025
  Avantax Investment Services, Inc.
  Rochester, NY
• 07/2015 → Present
  Davie Kaplan Wealth Care Advisors, Llc
  Rochester, NY
• 10/2023 → 09/2025
  Avantax Advisory Services
  Rochester, NY
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Rochester, NY
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2023-10-24 → 2025-09-05
  Avantax Advisory Services
  Rochester, NY
  Dallas, TX
  Rochester, NY

Other Businesses

1) DKCB FINANCIAL ADVISORS, LLC POSITION: REFERRAL NATURE: FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2014 ADDRESS: Rochester NY 14614, United States DESCRIPTION: REFER HIGH NET WORTH CLIENTS TO RIA AS APPROPRIATE. 2) TEN UGLY PROPERTIES, LLC POSITION: OWNER NATURE: RENTAL REAL ESTATE INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2004 ADDRESS: Rochester NY 14626, United States DESCRIPTION: WHOLLY RESPONSIBLE FOR ALL ACTIVITIES 3) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (FORMERLY DKCB WEALTH CARE ADVISORS, LLC) POSITION: MEMBER/REFERRING ADVISOR; FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 11/30/2014 ADDRESS: , Rochester NY 14614, United States DESCRIPTION: DBA FOR FINANCIAL SERVICES; 4) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (RIA) POSITION: Advisor NATURE: Financial Planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: ADDRESS: 1000 First Federal Plaza, Rochester NY 14614, United States DESCRIPTION: Financial Planning 5) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (INSURANCE) POSITION: INSURANCE AGENT NATURE: Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: ADDRESS: 1000 First Federal Plaza, Rochester NY 14614, United States DESCRIPTION: CONDUCTS INSURANCE SALES/REFERRALS 6) DAVIE KAPLAN, CPA, P. C. POSITION: SHAREHOLDER AND FINANCIAL PROFESSIONAL, NATURE: INVESTMENT RELATED: Yes NUMBER OF HOURS: 35 SECURITIES TRADING HOURS: 35 START DATE: ADDRESS: 1000 First Federal Plaza, Rochester NY 14614, United States DESCRIPTION: CONDUCTS INSURANCE SALES/REFERRALS 7) ROCHESTER HEARING AND SPEECH CENTER, INC. POSITION: Board Member NATURE: I serve on the board of directors and some committees of the board. This is a volunteer position with no compensation. Rochester Hearing & Speech Center is a not-for-profit entity; INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2019 ADDRESS: 1000 Elmwood Avenue, Suite 400, Rochester NY 14620, United States DESCRIPTION: I serve on the board of directors and some committees (finance and executive) of the board. This is a volunteer position with no compensation. I am not an officer. I do not have check-signing authority. I review financial results as prepared by Agency personnel. I put forth strategic suggestions for the Agency but do not management day-to-day operations.

Exams

• S66 Uniform Combined State Law Examination
  2014-12-09