BV
Brandi J. Vick
CETERA INVESTMENT SERVICES LLC
Fort Smith, AR 72902
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CRD#: 2613506
BV
Professional summary
Brandi Janel Vick, who also goes by Brandi Janel Cole, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Fort Smith, Arkansas.
Brandi is registered as a RR (Registered Representative) and started their career in finance in 2001. Brandi has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brandi Janel Cole
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Brandi Janel Vick'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 8, 2005 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 602 Garrison Avenue, Fort Smith, AR 72902BD
CRD#: 15340
Fort Smith, AR
Past
September 16, 2004 - August 30, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 16, 2004 - August 30, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
April 23, 2001 - September 3, 2004
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
BIRMINGHAM, AL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alaska(1/10/2024)
RR
Arizona(11/1/2023)
RR
Arkansas(9/8/2005)
RR
Georgia(11/1/2023)
RR
Illinois(9/24/2025)
RR
Kansas(9/25/2023)
RR
Louisiana(11/27/2023)
RR
Missouri(8/5/2024)
RR
Nevada(9/30/2025)
RR
Ohio(9/15/2025)
RR
Oklahoma(9/25/2023)
RR
Pennsylvania(12/4/2023)
RR
Texas(9/25/2023)
RR
Virginia(11/27/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT SERVICES LLC
BANKERS SYSTEMS BROKERAGE SERVICES, INC. | PRIMEVEST FINANCIAL SERVICES, INC. | CETERA INVESTMENT SERVICES LLC | CETERA FINANCIAL INSTITUTIONS
CRD#: 15340 / SEC#: 801-45573, 8-31826
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
400 First St. S. Suite 300, St. Cloud, MN 56301
Mailing Address
P.o. Box 283, St. Cloud, MN 56302-0283
Phone number
(320) 656-4300
Established
Delaware since 11/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
