Brian Lee Freeman

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

• 07/1987 → 08/2023
  Minnesota Life
  Irvine, CA
• 05/1988 → 08/2023
  Securian Financial Services, Inc.
  Newport Bch, CA
• 07/1987 → Present
  Tax & Financial Group
  Newport Beach, CA
• 08/2023 → Present
  Cetera Wealth Services, Llc
  Newport Beach, CA
• 08/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2002-01-18 → 2023-08-10
  Securian Financial Services, Inc.
  Newport Bch, CA
  Newport Beach, CA
  St. Paul, MN

Other Businesses

1. TFG FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/01/2016 ADDRESS: , Newport Beach CA , United States DESCRIPTION: Agent/Broker 2. HEALTHPRICES.COM LLC POSITION: Referral NATURE: Medical insurance INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2005 ADDRESS: 4001 MacArthur Blvd, Ste 104, Newport Beach CA 92660, United States DESCRIPTION: Refer business 3. PRIVATE RISK INSURANCE AGENCY LLC POSITION: Referral NATURE: Property & Casualty Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2018 ADDRESS: 4001 MacArthur Blvd, Ste 300, Newport Beach CA 92660, United States DESCRIPTION: Refer business; 4. NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LIFE SETTLEMENT START DATE: 9/2023; APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE SETTLEMENTS THROUGH ASHAR; 5. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/2023; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS

Exams

• S66 Uniform Combined State Law Examination
  2001-10-15
• S63 Uniform Securities Agent State Law Examination
  1998-02-13

Designations

• Chartered Financial Consultant