Brent D. Williams

CETERA INVESTMENT ADVISERS LLC

NORTH EASTON, MA

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CRD#: 2891024

Professional summary

Brent Dion Williams is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in North Easton, Massachusetts and CETERA ADVISORS LLC located in North Easton, Massachusetts.

Brent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Brent has worked at 8 firms and has passed the Series 65, 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.NAME OF OTHER BUSINESS: BRENT WILLIAMS ENTERPRISES - NEXTGEN CAMPS LLC, INVESTMENT RELATED: NO, ADDRESS: 14 TAIT AVENUE NORTH EASTON, MA 02356, NATURE OF BUSINESS: YOUTH FOOTBALL CAMPS, START DATE: 1/2014, APX NUMBER OF HOURS PER WEEK: 15, APX NUMBER OF TRADING HOURS PER WEEK: 15, POSITION/TITLE/RELATIONSHIP: FOUNDER/CEO, BRIEF DESCRIPTION OF DUTIES: MANAGE 20-25 NATIONWIDE CAMPS; 2.NAME OF OTHER BUSINESS: CATHOLIC MEMORIAL HS, INVESTMENT RELATED: NO, ADDRESS: 235 BAKER ST W. ROKBURY, MA, NATURE OF BUSINESS: HIGH SCHOOL, START DATE: 9/2013, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF TRADING HOURS PER WEEK: 2, POSITION/TITLE/RELATIONSHIP: BOARD ADVISOR, BRIEF DESCRIPTION OF DUTIES: BOARD OF DIRECTORS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brent Dion Williams's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

NORTH EASTON, MA

Current

October 3, 2016 - Present

CETERA ADVISORS LLC

CRD#: 10299

North Easton, MA

Past

October 3, 2016 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

January 13, 2014 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

NORTH EASTON, MA

Past

January 7, 2014 - October 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

NORTH EASTON, MA

Past

March 10, 2011 - December 31, 2013

BOLTON GLOBAL CAPITAL

CRD#: 15650

NORTH EASTON, MA

Past

January 10, 2011 - January 27, 2014

BOLTON SECURITIES CORPORATION

RIA

CRD#: 129376

NORTH EASTON, MA

Past

May 22, 2009 - December 31, 2010

BOLTON SECURITIES CORPORATION

RIA

CRD#: 129376

N. EASTON, MA

Past

May 11, 2009 - December 31, 2010

BOLTON GLOBAL CAPITAL

CRD#: 15650

NORTH EASTON, MA

Past

September 19, 2003 - June 2, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ROCKLAND, MA

Past

September 19, 2003 - June 2, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ROCKLAND, MA

Past

May 24, 1999 - September 24, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

May 24, 1999 - September 24, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 2, 1997 - May 27, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Florida
(10/4/2016)

Georgia
(10/3/2016)

Massachusetts
(10/3/2016)

IAR

Massachusetts
(3/21/2024)

Michigan
(1/5/2017)

New Hampshire
(10/3/2016)

New Jersey
(10/3/2016)

New York
(10/3/2016)

Ohio
(10/3/2016)

Pennsylvania
(10/3/2016)

Rhode Island
(10/3/2016)

Texas
(10/3/2016)

IAR

Texas
(3/21/2024)

Virginia
(12/6/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/24/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/1/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Brent D. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brent Dion Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

BOLTON GLOBAL CAPITAL

BOLTON SECURITIES CORPORATION

BOLTON SECURITIES CORPORATION

BOLTON GLOBAL CAPITAL

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/24/1997

Series 63

Date: 7/15/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/1/1997

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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