Brian L. Clapp

CETERA INVESTMENT ADVISERS LLC

GRANGER, IN

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CRD#: 1305031

Professional summary

Brian Lee Clapp is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Granger, Indiana and CETERA WEALTH SERVICES, LLC located in Granger, Indiana.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Brian has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(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;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Lee Clapp's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

GRANGER, IN

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Granger, IN

Past

May 20, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Lawton, MI

Past

April 17, 2018 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

LAWTON, MI

Past

April 17, 2018 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

Lawton, MI

Past

July 5, 2016 - March 22, 2018

BANKERS LIFE ADVISORY SERVICES, INC.

RIA

CRD#: 281285

MISHAWAKA, IN

Past

May 26, 2016 - March 22, 2018

BANKERS LIFE SECURITIES, INC.

CRD#: 173962

MISHAWAKA, IN

Past

June 25, 2010 - May 27, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

MISHAWAKA, IN

Past

June 9, 2010 - May 26, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

MISHAWAKA, IN

Past

February 26, 2010 - May 28, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

S. BEND, IN

Past

February 26, 2010 - May 28, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

SOUTH BEND, IN

Past

September 21, 2009 - November 10, 2009

EDWARD JONES

RIA

CRD#: 250

ST. LOUIS, MO

Past

September 4, 2009 - November 10, 2009

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

April 19, 1994 - August 25, 1994

WALL STREET ACCESS

CRD#: 10012

Past

March 30, 1992 - December 16, 1993

CITY SECURITIES CORPORATION

CRD#: 1459

Past

January 15, 1985 - April 8, 1992

PFS INVESTMENTS INC.

CRD#: 10111

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Indiana
(9/20/2019)

IAR

Indiana
(6/29/2023)

Michigan
(9/20/2019)

Virginia
(5/10/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/18/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/14/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/3/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/14/1985

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Brian L. Clapp

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Lee Clapp's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

EDWARD JONES

EDWARD JONES

WALL STREET ACCESS

CITY SECURITIES CORPORATION

PFS INVESTMENTS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/18/2009

Series 63

Date: 1/14/1985

SIE

Date: 10/1/2018

Series 7

Date: 9/3/2009

Series 6

Date: 1/14/1985

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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