BR
Brian P. Ratcliff
CETERA INVESTMENT ADVISERS LLC
RICHARDSON, TX 75080
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CRD#: 2690917
BR
Professional summary
Brian Patrick Ratcliff is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Richardson, Texas and CETERA WEALTH SERVICES, LLC located in Plano, Texas.
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 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
NAME OF ENTITY: Independent Insurance Agent; Yes; 5109 CREEKSIDE CT; PLANO; TX; 75094; Fixed Insurance Sales; Independent Insurance Agent; 6/1/2007; 16; 16; Sales of Fixed Insurance Products|NAME OF ENTITY:HEIGHTS BAPTIST CHURCH; No; 201 W. RENNER RD; RICHARDSON; TX; 75080; NON-PROFIT ORGANIZATION; VICE CHAIR/ CHAIR OF DEACONS; 10/1/2016; 10; 0; RUN MEETINGS,ORGANIZE DEACON STUDY AND ASSIST WHERE NEEDED|NAME OF ENTITY:Sucessor Trustee to Shannon & Jane Vale Estate; No; 2929 CENTRAL EXPRESSWAY SUITE 235; RICHARDSON; TX; 75080; Family; Sucessor Trustee; 5/14/2012; 0; 0; to act as suscussor trustee on family related trust account.|NAME OF ENTITY:HPH; No; 121 & 107 security court; Wylie; TX; 75098; REAL ESTATE owned to rent. location to buy and sell classic cars. operate car dealer. car museum.; OWNER; 5/25/2015; 20; 0; ACQUIRE CLASSIC CARS|NAME OF ENTITY:The Heights Baptist Church; No; 201 W RENNER RD; RICHARDSON; TX; 75080; church; finance committee-Board Member; 10/1/2012; 2; 0; Board Member - approve distribution of fund to various ministries. No authority over checkbook, no signing priviledges on accts.|NAME OF ENTITY:Ratcliff Enterprises Ltd; Yes; 5109 CREEKSIDE CT; PARKER; TX; 95094; Holding Company; General Partner; 6/9/2014; 5; 0; Invests and maintains personal assets.|NAME OF ENTITY:Heights Car Show; No; 201 WEST RENNER RD; RICHARDSON; TX; 75080; Charity car show; organizer; 4/1/2010; 8; 8; Contact car club members to participate in car show to raise can goods for Gods Food Pantry.|NAME OF ENTITY:Ratcliff Financial Services, Inc.; No; 5109 CREEKSIDE CT; PLANO; TX; 75094; FINANCIAL SERVICES/DBA; Owner; 10/13/2004; 160; 160; SALE & SERVICES OF FIXED INSURANCE,SECURITIES AND INVESTMENT PRODUCTS.S-Corp for tax purposes.|NAME OF ENTITY:Heights Church Widows Ministry; No; 201 W. RENNER ROAD; RICHARDSON; TX; 75080; NPO-Religious; Co-Director; 1/1/2006; 4; 4; Set up lunchoens, facilitate house repairs, answer financial questions|NAME OF ENTITY:Sigma Phi Epsilon Board of governors; No; 5109 Creekside Court; Parker; TX; 75094; FRATERNITY ORGANIZATION; Board member; 1/1/2019; 0; 0; No duties. No meetings.|NAME OF ENTITY:Park Place; No; 5109 Creekside Court; Parker; TX; 75094; Car Show; Show director; 3/1/2019; 2; 0; Car recruitment, car selection, car judging|
CRS (Client Relationship Summary) - RIA
Click below to view Brian Patrick Ratcliff'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1096 Edith Circle, Richardson, TX 75080RIA
CRD#: 105644
RICHARDSON, TX
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
PLANO, TX
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
RICHARDSON, TX
Past
March 11, 2002 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
RICHARDSON, TX
Past
March 11, 2002 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
RICHARDSON, TX
Past
January 7, 1997 - March 15, 2002
WOODSTOCK FINANCIAL GROUP, INC.
BD
CRD#: 38095
WOODSTOCK, GA
Past
January 22, 1996 - December 31, 1996
DOMINION CAPITAL CORPORATION
BD
CRD#: 18837
DALLAS, TX
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(5/12/2022)
RR
Arkansas(6/9/2021)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
RR
Georgia(6/9/2021)
RR
Indiana(6/9/2021)
RR
Kansas(6/9/2021)
RR
Kentucky(6/27/2023)
RR
New Mexico(6/9/2021)
RR
Ohio(7/30/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Richardson, TX 75080TRUST BUT VERIFY
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