BE
Brett A. Efimov
CETERA INVESTMENT ADVISERS LLC
TINLEY PARK, IL 60477
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CRD#: 4093105
BE
Professional summary
Brett Arthur Efimov is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tinley Park, Illinois and CETERA WEALTH SERVICES, LLC located in Tinley Park, Illinois.
Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Brett has worked at 2 firms and has passed the Series 65, Series 63, SIE 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.
1. NAME OF OTHER BUSINESS: BRETT A. EFIMOV, CPA, LTD., INVESTMENT RELATED Y/N: NO, ADDRESS: 6720 WEST 16TH STREET, SUITE 4, NATURE OF BUSINESS: CPA, POSITION/TITLE/RELATIONSHIP TO BUSINESS: OWNER, CPA, START DATE: 6/9/1997, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 94% OF TIME, BRIEF DESCRIPTION OF DUTIES: ACCOUNTING, AUDITING, BOOKKEEPING, TAX PREPARATION AND OTHER BUSINESS SERVICES; 2.NAME OF OTHER BUSINESS: CREATIVE MECHANT SOLUTIONS.COM, INC., INVESTMENT RELATED Y/N: NO, ADDRESS: 6720 W 167TH STREET SUITE 4, TINLEY PARK, IL 60477, NATURE OF BUSINESS: SALES AND SERVICE FOR CREDIT CARD PROCESSING AND OTHER MERCHANT SERVICES, POSITION/TITLE/RELATIONSHIP TO BUSINESS: PRESIDENT AND DIRECTOR OF SALES AND MARKETING, START DATE: 11/2004, APX NUMBER OF HOURS PER MONTH: 20, APX NUMBER OF HOURS DURING TRADING HOURS: 5, BRIEF DESCRIPTION OF DUTIES: SALES AND SERVICE FOR CREDIT CARD PROCESSING AND OTHER MERCHANT SERVICES; 3.NAME OF OTHER BUSINESS: ILLINOIS CPA SOCIAETY; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: LOCAL CPA SOCIETY CHAPTER; START DATE: 4/2021; POSITION/TITLE/RELATIONSHIP: MEMBERSHIP COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: ENCOURAGE MEMBERSHIP, ATTEND MONTHLY MEETINGS; 4. AUDIT ONE, LTD, NOT INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, CPA FIRM, START 01/15/2014, VARIOUS HRS/WK (TRADING HOURS), CPA - PERFORM AUDITS, REVIEWS, & OTHER ASSURANCE SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Brett Arthur Efimov'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: 6720 W 167th St Unit 4, Tinley Park, IL 60477RIA
CRD#: 105644
TINLEY PARK, IL
Current
May 9, 2001 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6720 167th Street Suite 2, Tinley Park, IL 60477BD
CRD#: 13572
Tinley Park, IL
Past
January 12, 2009 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
December 21, 1999 - September 27, 2000
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
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
Illinois(5/9/2001)
IAR
Illinois(6/29/2023)
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
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.
