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Brian E Glick

CETERA WEALTH SERVICES
UPLAND, CA
·CRD# 1761466·39 years experience

Professional Summary

Brian E Glick is a registered financial advisor 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.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

39 years in the financial services industry

Current & Past Employments

CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
1453 W. Foothill Blvd., Upland, CA 91786
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
Upland, CA
September 5, 2025 - October 30, 2025
AVANTAX ADVISORY SERVICES·CRD# 104556
RIA
Upland, CA
May 18, 2002 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Upland, CA
December 2, 1987 - September 5, 2025

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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)

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)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CETERA ADVISOR NETWORKS LLC - ADV PART 2A AND APPENDIX 1 (6/1/2023)

Direct owners and executive officers

NamePositionCRD#
CETERA FINANCIAL GROUP, INC.SOLE MEMBER—
ARNOLD, SUMMER SELTZERVICE PRESIDENT2954103
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BUDEVICH, SERGEVICE PRESIDENT AND TAX OFFICER7996345
BURKOTT, DANIEL PAULBROKER DEALER CO-CHIEF COMPLIANCE OFFICER4710068
COAXUM, KOFI SULEVICE PRESIDENT5150018
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
GOK, LISA ANNESECRETARY5059738
HALLORAN, THOMAS WILLIAMVICE PRESIDENT1921834
HOLWEGER, KIMBERLEYCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERCHIEF EXECUTIVE OFFICER2799860
MCCALLOP, PATRICIA RUTHERFORDBROKER DEALER CO-CHIEF COMPLIANCE OFFICER5059176
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
MOLNAR, MICHAEL JAMESVICE PRESIDENT4866129
NEARY, JOSEPH DANIELMANAGER AND VICE PRESIDENT2993505
NILAND, ERIK BRADLEYVICE PRESIDENT2796476
OBRIEN, EDWARD DMANAGER2239064
PATTERSON, GERALDVICE PRESIDENT4302538
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYPRESIDENT AND MANAGER2272183
STONE, TIMOTHY PATRICKVICE PRESIDENT3038963
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846
WATTS, ANDREW DAVIDVICE PRESIDENT4780880
WENIG, HARLAN DAVIDVICE PRESIDENT4690768

Regulatory Assets Under Management

Total Number of Accounts

192,956

AUM (Assets Under Management)

$46,651,447,975

Disclosures

Regulatory Event

20

Civil Event

2

Arbitration

15

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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

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 2004About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1991About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 22 — Direct Participation Programs Representative Examination

Passed Jan 1988About the Series 22 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Nov 1987About the Series 6 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Brian E Glick's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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