BJ
Brian A. Johnson
CETERA INVESTMENT ADVISERS LLC
SIOUX CITY, IA 51101
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CRD#: 2617488
BJ
Professional summary
Brian Alan Johnson is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sioux City, Iowa and CETERA INVESTMENT SERVICES LLC located in Sioux City, Iowa.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Brian has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.) SELLS FIXED INSURANCE PRODUCTS THROUGH WESTERN SOUTHERN, CENTRAL FINANCIAL GROUP, AND THE ACHIEVEMENT GROUP. 2.) ABILITY TO REFER BUSINESS TO THE TRUST/WEALTH MANAGEMENT AREA OF THE BANK. TRUST/WEALTH MANAGEMENT AREA COMPENSATES FOR SUCH REFERRALS. 3.) OWNER OF FARMLAND; RENT OUT TO LOCAL FARMERS
CRS (Client Relationship Summary) - RIA
Click below to view Brian Alan Johnson'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
January 21, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 601 Pierce Street, Sioux City, IA 51101RIA
CRD#: 105644
SIOUX CITY, IA
Current
October 16, 2009 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 601 Pierce Street, Sioux City, IA 51101Office #2: 122 Central Avenue Nw, Orange City, IA 51041BD
CRD#: 15340
Sioux City, IA
Past
October 16, 2009 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
ST CLOUD, MN
Past
April 4, 2008 - October 28, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
SIOUX CITY, IA
Past
March 26, 2003 - April 3, 2008
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SIOUX CITY, IA
Past
November 27, 1995 - March 31, 2003
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
June 28, 1995 - November 28, 1995
NATIONWIDE FUND DISTRIBUTORS LLC
BD
CRD#: 25910
COLUMBUS, OH
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
Arizona(10/4/2013)
RR
Arkansas(7/31/2018)
RR
California(2/25/2011)
RR
Colorado(3/15/2011)
RR
Florida(6/10/2020)
RR
Illinois(9/18/2013)
RR
Iowa(10/16/2009)
IAR
Iowa(1/21/2014)
RR
Kansas(1/19/2012)
RR
Maryland(11/30/2020)
RR
Massachusetts(5/6/2021)
RR
Minnesota(9/6/2016)
RR
Missouri(5/20/2013)
RR
Nebraska(11/17/2009)
RR
Nevada(2/12/2014)
RR
North Carolina(6/10/2024)
RR
Oregon(11/30/2020)
RR
South Carolina(5/20/2019)
RR
South Dakota(10/16/2009)
RR
Texas(7/21/2010)
IAR
Texas(12/1/2020)
RR
Washington(11/5/2019)
RR
Wisconsin(6/24/2022)
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
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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.
