BA
Brian K. Asper
CETERA INVESTMENT ADVISERS LLC
EPHRATA, PA 17522
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CRD#: 4325305
BA
Professional summary
Brian Kenneth Asper is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Ephrata, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Ephrata, Pennsylvania.
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 6 firms and has passed the Series 66, 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.
(dba) PATHWAY FINANCIAL GROUP; Investment Related; 860 N Reading Road, Ephrata, PA 17522; Financial Adviser; Start Date 07/2003; 160 hours per month; Meet with clients and provide financial services and products as needed. >> VISION FINANCIAL SERVICES, LLC; Investment Related; 226 S Reading Rd, Ephrata, PA 17522; Financial Adviser; Start Date 01/2016; 10 hours per month; Business relationship with local CPA firm, we both run our shared clients through Vision Financial Services for securities and insurance products. >> ASPER FINANCIAL SERVICES; Investment Related; 860 N Reading Road, Ephrata, PA 17522; Owner; Start Date 07/2003; 5 hours per month; This dba is for tax filing and payroll purposes, all sales and financial products are marketed and completed through either Pathway Financial Services or Vision Financial Services. >> ALIGN LIFE MINISTRIES; Non-Investment Related; 131 S. 8th St, Lebanon, PA 17042; Educational; Board member - Chairman; Start Date 01/2012; 4 hours per month; Bi-monthly board meetings, vision and oversight for the organization. >> REAL ESTATE; Investment Related; Stevens, PA; Real Estate; Owner/Landlord; Start Date 09/2022; 5 hours per month with no hours per month during trading hours; My spouse and I own several rental units on which we collect rent from and maintain.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Kenneth Asper'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
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 226 S Reading Road, Ephrata, PA 17522RIA
CRD#: 105644
EPHRATA, PA
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 860 N Reading Road, Ephrata, PA 17522Office #2: 226 S Reading Road, Ephrata, PA 17522BD
CRD#: 13572
Ephrata, PA
Past
November 11, 2014 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Ephrata, PA
Past
November 11, 2014 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Ephrata, PA
Past
April 3, 2006 - November 12, 2014
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
REINHOLDS, PA
Past
July 16, 2003 - November 12, 2014
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
REINHOLDS, PA
Past
February 13, 2001 - July 2, 2003
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
California(2/20/2025)
RR
Connecticut(2/20/2025)
RR
Delaware(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
RR
Hawaii(2/20/2025)
RR
Idaho(2/20/2025)
RR
Illinois(2/20/2025)
RR
Indiana(2/20/2025)
RR
Maine(2/20/2025)
RR
Maryland(2/20/2025)
RR
Massachusetts(2/20/2025)
RR
Missouri(2/20/2025)
RR
Montana(2/20/2025)
RR
New Jersey(2/20/2025)
RR
New York(2/20/2025)
RR
North Carolina(2/20/2025)
RR
Ohio(2/20/2025)
RR
Pennsylvania(2/20/2025)
IAR
Pennsylvania(2/20/2025)
RR
South Carolina(2/20/2025)
RR
Tennessee(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(2/20/2025)
RR
Vermont(2/20/2025)
RR
Virginia(2/20/2025)
RR
West Virginia(2/20/2025)
RR
Wyoming(2/20/2025)
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
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Ephrata, PA 17522TRUST BUT VERIFY
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