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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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian C Duttera'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

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 43606
RIA
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 43606
BD
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
IAR
Series 65
Date: 4/15/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/10/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/1987
General Securities Representative Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KESTRA PRIVATE WEALTH SERVICES, LLC ADVISORENTERPRISE WRAP FEE BROCHURE (10/21/2025)
KPWS - BROCHURE (10/21/2025)

Regulatory assets under management

Total Number of Accounts27,816
AUM (Assets Under Management)$ 10,210,576,595

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/01/2025
Cover Page
Report
12/23/2024
Cover Page
Report
10/20/2023
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.

Company Information

KESTRA PRIVATE WEALTH SERVICES, LLC

CRD#: 155193Sandusky, OH 44870

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