BD
Brian C. Duttera
KESTRA PRIVATE WEALTH SERVICES
SANDUSKY, OH 44870
Some features on this profile are disabled
CRD#: 1663644
BD
Professional summary
Brian C Duttera, who also goes by Brian Cleve Duttera, is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Sandusky, Ohio and KESTRA INVESTMENT SERVICES, LLC located in Sandusky, Ohio.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Brian has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Cleve Duttera
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.
Business Name: True Alpha Wealth Management Investment Related: Yes Address: 5004 Timber Commons Drive Sandusky OH 44870 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through an independent outside RIA Position, Title or Relationship: Founder, Portfolio Manager, Registered Rep and Financial Advisor Start Date: 11/30/2017 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment Advise, financial planning and portfolio managmeent Business Name: The Pattrick and Louise Murray Foundation Investment Related: No Address: 901 Beachside Lane Huron OH 44839 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.); Community/Charitable/Civic Volunteer (Non-Leadership Position) Position, Title or Relationship: Secretary of the board Start Date: 1/1/2021 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Attend quarterly board meetings and events. Record and take notes of all meetings and out reach events. Business Name: OUR HAPPY PLACE COTTAGES, LLC POSITION: member/ joint owner NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2022 ADDRESS: 410 Gateway Blvd, HURON OH 44839 DESCRIPTION: part owner, managing partner with my wife in a rental property and its associated management. Business Name: DISANTIS CONSULTING POSITION: independent Contractor NATURE: Consulting INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/16/2022 ADDRESS: 10113 Sundown Trail, North Royalton OH 44133 DESCRIPTION: no duties or obligations. Case by case consulting.
CRS (Client Relationship Summary) - RIA
Click below to view Brian C Duttera's 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®
NoneExperience
Current
March 7, 2018 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: 5004 Timber Commons Drive, Sandusky, OH 44870Office #2: 3130 Executive Parkway Suite 2f, Toledo, OH 43606RIA
CRD#: 155193
SANDUSKY, OH
Current
March 7, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5004 Timber Commons Drive, Sandusky, OH 44870Office #2: 3130 Executive Parkway Suite 2f, Toledo, OH 43606BD
CRD#: 42046
Sandusky, OH
Past
August 29, 1994 - March 9, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SANDUSKY, OH
Past
May 27, 1987 - March 9, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SANDUSKY, OH
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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 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.RR
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
RR
Arizona(3/7/2018)
RR
California(3/7/2018)
RR
Colorado(11/6/2018)
RR
Connecticut(3/23/2018)
RR
Delaware(3/9/2018)
RR
Florida(3/7/2018)
RR
Georgia(10/18/2023)
RR
Kansas(7/15/2021)
RR
Kentucky(3/8/2024)
RR
Massachusetts(11/5/2020)
RR
Michigan(3/7/2018)
RR
Minnesota(9/22/2022)
RR
Montana(10/29/2025)
RR
New Jersey(11/1/2018)
RR
New Mexico(9/5/2025)
RR
North Carolina(10/30/2019)
RR
Ohio(3/7/2018)
IAR
Ohio(3/7/2018)
RR
Pennsylvania(3/7/2018)
RR
South Carolina(1/13/2021)
RR
Tennessee(3/29/2021)
RR
Virginia(1/30/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/6/1995
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
Company Information
KESTRA PRIVATE WEALTH SERVICES, LLC
CRD#: 155193Sandusky, OH 44870TRUST BUT VERIFY
Monitor Brian Duttera
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
