Brion P. Harris

CETERA INVESTMENT ADVISERS LLC

ANNAPOLIS, MD 21401

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CRD#: 3199095

Professional summary

Brion Patrick Harris, who also goes by Brion P Harris, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Annapolis, Maryland and CETERA WEALTH SERVICES, LLC located in Annapolis, Maryland.

Brion is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Brion has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brion P Harris

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brion Patrick Harris'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 175 Admiral Cochrane Drive, Suite 203, Annapolis, MD 21401

RIA

CRD#: 105644

ANNAPOLIS, MD

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 175 Admiral Cochrane Drive, Suite 203, Annapolis, MD 21401

CRD#: 13572

ANNAPOLIS, MD

Past

May 20, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

October 16, 2013 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

ANNAPOLIS, MD

Past

October 16, 2013 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

ANNAPOLIS, MD

Past

October 3, 2012 - September 19, 2013

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

ANNAPOLIS, MD

Past

October 2, 2012 - September 19, 2013

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

ANNAPOLIS, MD

Past

January 27, 2005 - July 27, 2011

INDEPENDENT ADVISERS GROUP CORP

RIA

CRD#: 106684

ANNAPOLIS, MD

Past

May 13, 2003 - August 6, 2012

OSAIC FS, INC.

RIA

CRD#: 3870

ANNAPOLIS, MD

Past

December 12, 2002 - August 6, 2012

OSAIC FS, INC.

CRD#: 3870

ANNAPOLIS, MD

Past

March 24, 2000 - December 6, 2002

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

BALTIMORE, MD

Past

March 26, 1999 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

March 26, 1999 - December 6, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

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

Arizona
(9/20/2019)

California
(9/20/2019)

Connecticut
(9/20/2019)

District of Columbia
(9/20/2019)

Florida
(9/23/2019)

Georgia
(9/20/2019)

Iowa
(1/22/2024)

Maryland
(9/20/2019)

IAR

Maryland
(6/29/2023)

Minnesota
(9/20/2019)

Missouri
(9/20/2019)

Nebraska
(3/29/2021)

New Jersey
(9/20/2019)

New Mexico
(9/20/2019)

New York
(9/20/2019)

North Carolina
(9/20/2019)

Pennsylvania
(9/20/2019)

South Carolina
(9/20/2019)

South Dakota
(9/20/2019)

Tennessee
(9/20/2019)

Texas
(9/20/2019)

IAR

Texas
(6/29/2023)

Virginia
(9/20/2019)

West Virginia
(9/20/2019)

Wisconsin
(9/20/2019)

Wyoming
(9/20/2019)

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: 12/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/20/1999

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: 2/18/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/25/1999

Investment Company Products/Variable Contracts 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

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

Brion P. Harris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brion Patrick Harris's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

INDEPENDENT ADVISERS GROUP CORP

OSAIC FS, INC.

OSAIC FS, INC.

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/1999

Series 63

Date: 4/20/1999

SIE

Date: 10/1/2018

Series 7

Date: 2/18/2000

Series 6

Date: 3/25/1999

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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