BG
Brian E. Glick
CETERA WEALTH SERVICES
UPLAND, CA 91786
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CRD#: 1761466
BG
Professional summary
Brian E Glick is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Upland, California.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1987. Brian has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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) Personalized Business Service 1453 W Foothill Blvd Upland CA 91786 Tax Preparation/Accounting President~8/1/1977 160hrs~160hrs~manage overall operation 2) Mt Baldy Fire Dept P O Box 488~Mt Baldy CA 91759 Treasurer/Comptroller 7/1/2004~5hrs~0hrs Volunteer Fire Dept 3) SNOWCREST HEIGHTS IMPROVEMENT ASSOC. POSITION: Treas. NATURE: Water association that is responsible for providing water to 110 homes in Mt Baldy CA INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: P O Box 351, Mt Baldy CA 91759, DESCRIPTION: I serve on the board of directors and hold the position of treasurer 4) STEAD FAMILY TRUST POSITION: trustee NATURE: This position has now taken effect as both grantors are no longer competent to handle their financial affairs. I now have financial control of the Trusts finances INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/14/2021 ADDRESS: 1453 W. Foothill Blvd., Upland CA 91786, United States DESCRIPTION: I will be managing the trusts finances. they have 3 parcels of real estate and 4 brokerage accounts with Morgan Stanley 5) WILLIAM R STEAD SEPARATE TRUST POSITION: trustee NATURE: My position as Trustee has now taken effect due to the grantor is no longer competent to handle his financial affairs. I now have financial control of the trusts finances INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/14/2021 ADDRESS: 1453 W. Foothill Blvd., Upland CA 91786, United States DESCRIPTION: I will be managing the trusts finances. this trust has one brokerage account with Morgan Stanley previously disclosed 6) THE MARILYNN DAWN GLICK REVOCABLE LIVING TRUST DATED 8/22/1996 POSITION: trustee NATURE: My mother has passed away and I am the first in line sucessor trustee with all powers to transact business for my mothers trust INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 02/20/2024 ADDRESS: 7628 Mt Baldy Rd, P O box 426, Mt Baldy CA 91759, United States DESCRIPTION: see above answer 7) San Antonio Canyon Mutual Service co; board member; Board Position/Officer; NIR; 1; 01/01/2019; P O Box 616 Mt Baldy CA 91759; Meet 2 times per yr to make decisions regarding system mgmt 8) Brian Glick; Owner; Rental Property; IR; 10; 01/01/2019; 1453 W Foothill Blvd Upland CA 91786; Typical landlord duties
CRS (Client Relationship Summary) - BD
Click below to view Brian E Glick'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
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1453 W. Foothill Blvd., Upland, CA 91786BD
CRD#: 13572
UPLAND, CA
Past
September 5, 2025 - October 30, 2025
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
UPLAND, CA
Past
May 18, 2002 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
UPLAND, CA
Past
December 2, 1987 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
UPLAND, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Montana(9/5/2025)
RR
Nevada(9/5/2025)
RR
Utah(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
