Brian K. Nelson
CETERA INVESTMENT ADVISERS LLC
HELENA, MT 59601
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CRD#: 4304998
Professional summary
Brian Keith Nelson, CFP®, who also goes by Brian Keith Nelson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Helena, Montana and CETERA WEALTH SERVICES, LLC located in Helena, Montana.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Brian has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Keith Nelson
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 ENTITY:SULLIVAN FINANCIAL GROUP; Yes; 111 N LAST CHANCE GULCH ST STE 3-C; HELENA; MT; 59601; FINANCIAL SERVICES/DBA; ASSOCIATE; 5/10/2016; 160; 140; SALE & SERVICE FIXED INSURANCE,SECURITIES AND INVESTMENT PRODUCTS; 2.NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 111 N LAST CHANCE GULCH ST STE 3-C; HELENA; MT; 59601; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 5/23/2016; 160; 160; SALES OF FIXED INSURANCE PRODUCTS; 3. NAME OF ENTITY: Sullivan Financial Group, LLC; No; 111 N Last Chance Gulch, Ste 3C; Helena; MT; 59601; S Corporation; Vice President; 4/10/2021; 4; 0; Meet with other officers to decide direction of company, only acting in the absence of the President. Also help with technology decisions within the corporation; 4. NAME OF OTHER BUSINESS: HELENA AREA COMMUNITY FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: 901 N BENTON HELENA, MT 59601; NATURE OF BUSINESS: FOUNDATION BOARD; START DATE: 5/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: ASSIST WITH FUND RAISING AND DISTRIBUTION OF FUNDS TO OTHER NON-PROFIT ORGANIZATIONS, HELP WITH STAFFING DECISIONS; 5. NAME OF OTHER BUSINESS: NAIFA MT; INVESTMENT RELATED: NO; ADDRESS: 170 NICHOLSONDR KALISPELL, MT 59901; NATURE OF BUSINESS: NON PROFIT; START DATE: 1/2025; POSITION/TITLE/RELATIONSHIP: IMMEDIATE PAST PRESIDENT; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 3; BRIEF DESCRIPTION OF DUTIES: HELP RUN THE MONTANA CHAPTER OF NAIFA;
CRS (Client Relationship Summary) - RIA
Click below to view Brian Keith Nelson'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®
CFP®
Start date: 2016
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 111 N Last Chance Gulch Ste 3-c, Helena, MT 59601RIA
CRD#: 105644
HELENA, MT
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 111 N Last Chance Gulch Ste 3-c, Helena, MT 59601BD
CRD#: 13572
Helena, MT
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 2, 2016 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
HELENA, MT
Past
May 23, 2016 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
HELENA, MT
Past
July 28, 2003 - December 31, 2015
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
SALT LAKE CITY, UT
Past
July 14, 2003 - December 31, 2015
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
SALT LAKE CITY, UT
Past
February 22, 2001 - July 17, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
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
Montana(6/9/2021)
IAR
Montana(6/29/2023)
RR
Utah(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 105644Helena, MT 59601TRUST BUT VERIFY
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