BM
Brian J. Megley
CETERA INVESTMENT ADVISERS LLC
NEWPORT, RI 02840
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CRD#: 2302308
BM
Professional summary
Brian James Megley, who also goes by Brian J Megley, Brian Megley, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Newport, Rhode Island and CETERA ADVISORS LLC located in Newport, Rhode Island.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Brian has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian J Megley | Brian Megley
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) NAME OF OTHER BUSINESS: BELLEVUE PRIVATE WEALTH, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 1/2021; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF TRADING HOURS PER WEEK: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 09/2023, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE INSURANCE; 3) NAME OF OTHER BUSINESS: RHODE ISLAND SALTWATER ANGLERS ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 6 ARNOLD ROAD COVENTRY, RI 02816; NATURE OF BUSINESS: NON PROFIT; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: CHAIRPERSON; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: RESPONSIBLE FOR ASSESSING GRANT REQUESTS, MAKING RECOMMENDATIONS TO THE RISAA BOARD FOR THEIR APPROVAL;
CRS (Client Relationship Summary) - RIA
Click below to view Brian James Megley'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 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 130 Bellevue Ave Ste 207, Newport, RI 02840RIA
CRD#: 105644
NEWPORT, RI
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 130 Bellevue Ave Ste 207, Newport, RI 02840BD
CRD#: 10299
NEWPORT, RI
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
March 4, 2013 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
NEWPORT, RI
Past
March 4, 2013 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
NEWPORT, RI
Past
November 2, 2007 - February 5, 2013
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
NEWPORT, RI
Past
November 2, 2007 - February 5, 2013
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
NEWPORT, RI
Past
November 1, 2004 - November 14, 2007
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PROVIDENCE, RI
Past
March 8, 2002 - November 14, 2007
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
PROVIDENCE, RI
Past
January 26, 1993 - April 9, 2002
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Alabama(10/3/2016)
RR
Arizona(9/24/2024)
RR
Connecticut(4/22/2024)
RR
Florida(10/6/2016)
RR
Kansas(10/3/2016)
RR
Maine(10/3/2016)
RR
Massachusetts(10/3/2016)
RR
New Mexico(10/3/2016)
RR
New York(10/3/2016)
RR
North Carolina(1/6/2025)
RR
Ohio(10/3/2016)
RR
Oregon(10/3/2016)
RR
Rhode Island(10/3/2016)
IAR
Rhode Island(3/21/2024)
RR
South Carolina(10/28/2025)
RR
Texas(10/3/2016)
IAR
Texas(3/21/2024)
RR
Virginia(4/25/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Newport, RI 02840TRUST BUT VERIFY
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