Brian T. Farris

FINANCIAL DESIGN GROUP

LAVISTA, NE 68128

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CRD#: 2946903

Professional summary

Brian Timothy Farris is a registered financial advisor currently at FINANCIAL DESIGN GROUP, LLC located in Lavista, Nebraska.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Brian has worked at 6 firms and has passed the 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.

Brian Farris is licensed as an insurance agent. As such, he can provide advice on and recommendations for and against different insurance policy types, products and options. However, it is the firm's policy that Brian Farris does not sell (i.e. serve as the selling agent) insurance and annuity products. In order to avoid the emergence of conflicts of interest, Brian Farris will never sell commissionable insurance and/or annuity products to clients of Financial Design Group, LLC and, therefore, will never receive commissions from the sale of insurance and/or annuity products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Timothy Farris'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

April 18, 2022 - Present

FINANCIAL DESIGN GROUP, LLC

Office #1: 12110 Port Grace Boulevard Suite 200, Lavista, NE 68128

RIA

CRD#: 316103

LAVISTA, NE

Past

February 18, 2011 - July 18, 2022

CETERA ADVISORS LLC

RIA

CRD#: 10299

OMAHA, NE

Past

February 15, 2011 - July 18, 2022

CETERA ADVISORS LLC

CRD#: 10299

OMAHA, NE

Past

September 7, 2007 - February 11, 2011

QA3 FINANCIAL LLC

RIA

CRD#: 104957

OMAHA, NE

Past

August 30, 2007 - February 11, 2011

QA3 FINANCIAL CORP.

CRD#: 14754

OMAHA, NE

Past

January 30, 1998 - August 31, 2007

OSAIC FA, INC.

RIA

CRD#: 3978

OMAHA, NE

Past

November 6, 1997 - April 4, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

November 6, 1997 - August 31, 2007

OSAIC FA, INC.

CRD#: 3978

OMAHA, NE

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".

FINANCIAL DESIGN GROUP, LLC

CRD#: 316103 / SEC#: 801-134407

RIA

Registered Investment Advisory firm - (9/24/2025 Approved)

Iowa

Registered Investment Advisory firm - (9/25/2025 Terminated)

Nebraska

Registered Investment Advisory firm - (9/24/2025 Terminated)

Texas

Registered Investment Advisory firm - (9/24/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Iowa
(4/18/2022)

IAR

Nebraska
(4/18/2022)

IAR

Texas
(7/7/2022)

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.

Exams

State Security Law Exam

Series 63

Date: 11/14/1997

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: 11/5/1997

General Securities Representative Examination

Current Firm

FINANCIAL DESIGN GROUP, LLC

CRD#: 316103 / SEC#: 801-134407

RIA

Registered Investment Advisory firm - (9/24/2025 Approved)

Iowa

Registered Investment Advisory firm - (9/25/2025 Terminated)

Nebraska

Registered Investment Advisory firm - (9/24/2025 Terminated)

Texas

Registered Investment Advisory firm - (9/24/2025 Terminated)

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Contact information

Main Address

12110 Port Grace Boulevard Suite 200, Lavista, NE 68128

Mailing Address

Phone number

(402) 509-2250

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A: FIRM BROCHURE (10/22/2025)

Regulatory assets under management

Total Number of Accounts	540
AUM (Assets Under Management)	$ 109,751,299

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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Advisor Monitoring

Firm Stability Insights

Brian T. Farris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Timothy Farris's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

QA3 FINANCIAL LLC

QA3 FINANCIAL CORP.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

FINANCIAL DESIGN GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/14/1997

SIE

Date: 10/1/2018

Series 7

Date: 11/5/1997

Current Firm

FINANCIAL DESIGN GROUP, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL DESIGN GROUP, LLC

TRUST BUT VERIFY

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