Brian Lee Clapp

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2010 → 03/2018
  Bankers Life And Casualty Company
  Mishawaka, IN
• 05/2016 → 03/2018
  Bankers Life Securities, Inc.
  Mishawaka, IN
• 04/2018 → 09/2019
  Summit Brokerage Services Inc.
  Lawton, MI
• 04/2018 → 05/2021
  Summit Financial Group Inc
  Lawton, MI
• 09/2019 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2018-04-17 → 2021-05-20
  Summit Financial Group Inc
  Lawton, MI
• 2016-07-05 → 2018-03-22
  Bankers Life Advisory Services, Inc.
  Mishawaka, IN
  Chicago, IL
• 2010-06-25 → 2016-05-27
  Concourse Financial Group Securities, Inc.
  South Bend, IN
  Birmingham, AL
  Mishawaka, IN
  Birmingham, AL
• 2010-02-26 → 2010-05-28
  Uvest Financial Services Group, Inc.
  S. Bend, IN
  Charlotte, NC
  South Bend, IN
  Kalamazo, MI
• 2009-09-21 → 2009-11-10
  Edward Jones
  St Louis, MO

Other Businesses

(1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 11/2020; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, ANNUITIES AND LONG TERM CARE;

Exams

• S66 Uniform Combined State Law Examination
  2009-09-18
• S63 Uniform Securities Agent State Law Examination
  1985-01-14