BB
Brett D. Bogan
CETERA INVESTMENT ADVISERS LLC
TROY, OH
Some features on this profile are disabled
CRD#: 2576940
BB
Professional summary
Brett Douglas Bogan, who also goes by Brett D Bogan, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Troy, Ohio and CETERA WEALTH SERVICES, LLC located in Troy, Ohio.
Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Brett has worked at 8 firms and has passed the Series 65, Series 66, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brett D Bogan
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) Free To Run Foundation 110 W. Franklin St. Troy OH 45373 Other Director/Officer 7/21/2013 20hrs~0hrs President and Board Member of this nonprofit organization. Free To Run organizes running and other endurance events to raise awareness of human trafficking. 2) CISV Miami County PO Box 836 Troy OH 45373 Board Position/Officer Other 2/1/2019 12hrs~2hrs Member of the Board of Directors and volunteer risk manager (e.g. ensure adequate insurance coverage, background screening on volunteers)| 3) MIAMI COUNTY, STATE OF OHIO POSITION: Election Day Poll Worker NATURE: Various activities on Election Day at one polling location in my hometown. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 6 START DATE: 11/03/2020 ADDRESS: 201 W. Main St, Troy OH 45373, United States DESCRIPTION: Poll workers will check in voters and provide the ballots for voting. 4) WASTE-FREE DAYTON INC POSITION: Associate Director/Board Member NATURE: Waste-Free Dayton is an Ohio nonprofit corporation formed for the purposes of raising awareness, educating the public, and promoting sustainability and waste-free initiatives in the Dayton, Ohio region. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 4 START DATE: 07/01/2021 ADDRESS: 1149 Phillips Ave, Dayton OH 45410, DESCRIPTION: Unpaid Associate Director assisting the Founder and Executive Director, and member of the Board. 5) BOGAN BELL & ASSOCIATES, INC POSITION: President NATURE: Tax Preparation/Accounting, Investments and Advisory services (through Avantax) INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 07/01/2005 ADDRESS: 1416 Golden Eagle Dr, Troy OH 45373, United States DESCRIPTION: Tax Preparation, Bookkeeping and Payroll services, Investments and Advisory Services 6) LEXISNEXIS/REED ELSEVIER POSITION: Sr. Director NATURE: Sr. Director for a data security investigations team. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 08/01/2000 ADDRESS: 9443 Springboro Pike, Miamisburg OH 45342, United States DESCRIPTION: Manage team of investigators whose responsibility is to investigate incidents and protect company from fraudulent activities.
CRS (Client Relationship Summary) - RIA
Click below to view Brett Douglas Bogan'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
TROY, OH
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Troy, OH
Past
June 15, 2011 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
TROY, OH
Past
June 14, 2011 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Troy, OH
Past
October 15, 2004 - December 6, 2010
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
TROY, OH
Past
January 1, 2004 - December 6, 2010
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
TROY, OH
Past
July 3, 2001 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
March 20, 1998 - December 1, 2000
CARLSON NATIONAL BROKERS, LTD
BD
CRD#: 25056
HERRIN, IL
Past
February 2, 1995 - December 31, 1996
AEGON USA SECURITIES INC.
BD
CRD#: 13302
CEDAR RAPIDS, 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
Ohio(9/5/2025)
IAR
Ohio(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
