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BM

Brian S. Mccleary

NICOLET WEALTH MANAGEMENT
Dubuque, IA 52004
Some features on this profile are disabled
CRD#: 4391159
BM

Professional summary

Brian Scott Mccleary is a registered financial advisor currently at NICOLET WEALTH MANAGEMENT located in Dubuque, Iowa.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Brian has worked at 9 firms and has passed the Series 65, 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Scott Mccleary'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

February 20, 2026 - Present

NICOLET WEALTH MANAGEMENT

Office #1: 895 Main St, Dubuque, IA 52004
RIA
CRD#: 283940
Dubuque, IA
Past

September 10, 2024 - May 14, 2025

CONTEGO CAPITAL GROUP, INC.

RIA
CRD#: 128518
MINNEAPOLIS, MN
Past

May 1, 2019 - September 20, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
DUBUQUE, IA
Past

April 30, 2019 - September 20, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
DUBUQUE, IA
Past

May 1, 2017 - April 30, 2019

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
DUBUQUE, IA
Past

May 1, 2017 - April 30, 2019

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
DUBUQUE, IA
Past

December 8, 2015 - April 13, 2016

ATCAPITAL MANAGEMENT

RIA
CRD#: 140215
DUBUQUE, IA
Past

September 17, 2015 - December 9, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
DUBUQUE, IA
Past

September 17, 2015 - December 9, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
DUBUQUE, IA
Past

January 21, 2014 - August 21, 2015

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
DUBUQUE, IA
Past

October 14, 2011 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
DUBUQUE, IA
Past

October 14, 2011 - August 21, 2015

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
DUBUQUE, IA
Past

October 4, 2007 - November 11, 2009

GLOBAL PORTFOLIO STRATEGIES, INC.

RIA
CRD#: 105812
DUBUQUE, IA
Past

December 6, 2004 - November 11, 2009

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
DUBUQUE, IA
Past

May 22, 2001 - December 6, 2004

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

BD
CRD#: 40596
HARTFORD, CT

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".
NW
NICOLET WEALTH MANAGEMENT
NICOLET ADVISORY SERVICES, LLC | NICOLET WEALTH MANAGEMENT, LLC | NICOLET WEALTH MANAGEMENT

CRD#: 283940 / SEC#: 801-108012

RIA
Registered Investment Advisory firm - (8/5/2016 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.

Highlighted states indicate IAR registrations

IAR
Iowa
(2/20/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/27/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/22/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/2001
General Securities Representative Examination

Current Firm

NW
NICOLET WEALTH MANAGEMENT
NICOLET ADVISORY SERVICES, LLC | NICOLET WEALTH MANAGEMENT, LLC | NICOLET WEALTH MANAGEMENT

CRD#: 283940 / SEC#: 801-108012

RIA
Registered Investment Advisory firm - (8/5/2016 Approved)
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Contact information

Main Address
111 N. Washington Street, Green Bay, WI 54301
Mailing Address
Phone number
(920) 430-1400
Established
Firm type
Fiscal year end
# of Employees
70

SEC notice filing (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NWM - RETIREMENT PLAN SERVICES (3/28/2025)
WRAP FEE BROCHURE FOR NICOLET ADVISORY SERVICES, LLC (3/28/2025)

Regulatory assets under management

Total Number of Accounts8,809
AUM (Assets Under Management)$ 3,849,158,087

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

NICOLET WEALTH MANAGEMENT

CRD#: 283940Dubuque, IA 52004

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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