Brian P. Gibbons

CETERA INVESTMENT ADVISERS LLC

ANNAPOLIS, MD 21401

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CRD#: 2458342

Professional summary

Brian Phillip Gibbons, who also goes by Brian Gibbons, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Annapolis, Maryland and CETERA INVESTMENT SERVICES LLC located in Annapolis, Maryland.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Brian has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 3, Series 26 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Gibbons

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:BRIAN P GIBBONS, INV REL:Y ADDR:11350 MCCORMICK ROAD, EXEC PLAZA IV, SUITE 200, HUNT VALLEY, MD 21031 NATURE:LIFE INSURANCE, HEALTH, GROUP LIFE, GROUP HEALTH, FIXED ANNUITY, POSITION:AGENT START:7/1/2016 NO HR/MO:1 NO HR/MO DUR TRADING:0.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Phillip Gibbons'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

January 29, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1000 Bestgate Road, Annapolis, MD 21401

RIA

CRD#: 105644

ANNAPOLIS, MD

Current

January 29, 2024 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1000 Bestgate Road, Annapolis, MD 21401

CRD#: 15340

Annapolis, MD

Past

March 25, 2017 - January 31, 2024

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

HUNT VALLEY, MD

Past

March 25, 2017 - January 31, 2024

MML INVESTORS SERVICES, LLC

CRD#: 10409

HUNT VALLEY, MD

Past

August 15, 2011 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

MILLERSVILLE, MD

Past

August 15, 2011 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

September 28, 2009 - February 10, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GLEN BURNIE, MD

Past

September 28, 2009 - February 10, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GLEN BURNIE, MD

Past

January 9, 2003 - September 28, 2009

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

WALDORF, MD

Past

May 26, 2000 - September 28, 2009

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

WALDORF, MD

Past

February 20, 1998 - May 26, 2000

CRESTAR SECURITIES CORPORATION

CRD#: 17464

RICHMOND, VA

Past

September 29, 1997 - February 5, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 29, 1997 - February 5, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

November 21, 1996 - August 18, 1997

WASHINGTON INVESTMENT CORPORATION

CRD#: 25727

WASHINGTON, DC

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Delaware
(2/22/2024)

District of Columbia
(2/22/2024)

Florida
(2/22/2024)

Maryland
(1/29/2024)

IAR

Maryland
(1/29/2024)

North Carolina
(2/22/2024)

Ohio
(2/22/2024)

South Carolina
(2/22/2024)

Virginia
(2/22/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/19/2002

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/31/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/6/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/20/1996

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 2/1/1994

National Commodity Futures Examination

Principal/Supervisory Exam

Series 26

Date: 10/25/2005

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 30

Date: 10/12/1994

NFA Branch Manager Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

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Advisor Monitoring

Firm Stability Insights

Brian P. Gibbons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Phillip Gibbons's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

CRESTAR SECURITIES CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

WASHINGTON INVESTMENT CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/19/2002

Series 65

Date: 7/31/1997

Series 63

Date: 2/6/1997

SIE

Date: 10/1/2018

Series 7

Date: 11/20/1996

Series 3

Date: 2/1/1994

Series 26

Date: 10/25/2005

Series 30

Date: 10/12/1994

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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