Brad A. Greenbaum
Professional summary
Brad Alan Greenbaum, AIF®, who also goes by Brad A Greenbaum, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fairfield, New Jersey and CETERA WEALTH SERVICES, LLC located in Fairfield, New Jersey.
Brad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Brad has worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brad Alan Greenbaum's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3 Us Hwy 46 W, Fairfield, NJ 07004-2904September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
March 15, 2006 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
July 30, 1996 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
November 16, 1994 - July 31, 1996
ADVANTAGE CAPITAL CORPORATION
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/3/2013)
(2/22/2018)
(9/3/2013)
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(7/8/2019)
(9/3/2013)
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(6/3/2015)
(10/4/2021)
(9/3/2013)
(9/3/2013)
(9/3/2013)
(9/3/2013)
(6/17/2024)
(9/3/2013)
(9/3/2013)
(9/3/2013)
(6/29/2023)
(9/3/2013)
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(9/3/2013)
(9/3/2013)
(4/5/2022)
(1/3/2015)
(6/29/2023)
(9/3/2013)
(9/3/2013)
(9/3/2013)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
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.
