BB
Benjamin H. Brown
CETERA INVESTMENT ADVISERS LLC
WILTON, IA 52778
Some features on this profile are disabled
CRD#: 2400610
BB
Professional summary
Benjamin Harris Brown, who also goes by Ben Brown, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wilton, Iowa and CETERA WEALTH SERVICES, LLC located in Wilton, Iowa.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Benjamin has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ben Brown
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: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 07/11/2014 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS:1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS ANNUITIES 2) NAME OF OTHER BUSINESS: AMERICAN MUTUAL INSURANCE ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 903 DEWITT ST, GRAND MOUND, IA 52751; NATURE OF BUSINESS: BOARD; START DATE: 1/2025; POSITION/TITLE/RELATIONSHIP: DIRECTOR: VICE-CHAIRPERSON OF THE BOARD OF DIRECTORS; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: FINANCIAL OVERSIGHT, STRATEGIC DIRECTION, REPRESENTATION OF POLICYHOLDERS; 3) NAME OF OTHER BUSINESS: DEWITT BANK & TRUST COMPANY DBA WILTON BANK-OFFICE OF DEWITT & TRUST CO. INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: BANK START DATE: 1/2018 POSITION/TITLE/RELATIONSHIP: REGISTERED REP APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISING 4) NAME OF OTHER BUSINESS: PEACE UNITED METHODIST CHURCH ; INVESTMENT RELATED: NO ; ADDRESS: 1321 HWY 38, WILTON, IA 52778 ; NATURE OF BUSINESS: CHURCH START DATE: 01/1990 ; POSITION/TITLE/RELATIONSHIP: TREASURER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: ISSUE AND SIGN CHECKS FOR ANY ACTIVITY RELATED TO CHURCH SERVICES ; 5) NAME OF OTHER BUSINESS: WILTON ALUMNI ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 117 W 6TH ST WILTON IA 52778; NATURE OF BUSINESS: NON PROFIT; START DATE: 2/2021; POSITION/TITLE/RELATIONSHIP: DIRECTOR; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: DIRECT AND APPROVE ACTIVITIES FOR THE ALUMNI ASSOCIATION;
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Harris Brown'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 618 W. 5th Street, Wilton, IA 52778RIA
CRD#: 105644
WILTON, IA
Current
July 15, 2014 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 618 W. 5th Street, Wilton, IA 52778BD
CRD#: 13572
Wilton, IA
Past
September 24, 2014 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
September 23, 1993 - July 11, 2014
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
WILTON, IA
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
Florida(2/25/2015)
RR
Illinois(10/15/2014)
RR
Iowa(7/15/2014)
IAR
Iowa(6/29/2023)
RR
Minnesota(10/22/2014)
RR
Missouri(9/25/2015)
RR
Pennsylvania(3/15/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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
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.
