Brett C. Bowers
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brett Conrad Bowers, who also goes by Brett Bowers, was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1993. Brett had worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 52, Series 4, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - March 2, 2021
CETERA INVESTMENT ADVISERS LLC
September 27, 2006 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
September 25, 2006 - March 2, 2021
CETERA INVESTMENT SERVICES LLC
January 1, 1998 - January 6, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 1998 - January 6, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 13, 1997 - January 1, 1998
NATIONSSECURITIES
March 15, 1996 - September 3, 1996
BANC IV INVESTMENTS, INC.
April 20, 1993 - August 13, 1997
BOATMEN'S INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
