Brian S. Mccleary

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CRD#: 4391159

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Brian Scott Mccleary was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2001. Brian had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

4/30/19- FAT CAT LLC - Real Estate Rental- Member- Inv. Related- Dubuque, IA- 2hrs/mth - 2%

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

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

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

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

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

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

CRD#: 18353

DUBUQUE, IA

Past

May 22, 2001 - December 6, 2004

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

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".

CONTEGO CAPITAL GROUP, INC.

CRD#: 128518 / SEC#: 801-113844

RIA

Registered Investment Advisory firm - (8/17/2018 Approved)

Arizona

Registered Investment Advisory firm - (12/1/2015 Terminated)

Colorado

Registered Investment Advisory firm - (12/31/2015 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (8/29/2018 Terminated)

Montana

Registered Investment Advisory firm - (12/1/2015 Terminated)

North Dakota

Registered Investment Advisory firm - (8/28/2018 Terminated)

Texas

Registered Investment Advisory firm - (11/10/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/27/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/22/2001

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: 5/21/2001

General Securities Representative Examination

Current Firm

CONTEGO CAPITAL GROUP, INC.

CRD#: 128518 / SEC#: 801-113844

RIA

Registered Investment Advisory firm - (8/17/2018 Approved)

Arizona

Registered Investment Advisory firm - (12/1/2015 Terminated)

Colorado

Registered Investment Advisory firm - (12/31/2015 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (8/29/2018 Terminated)

Montana

Registered Investment Advisory firm - (12/1/2015 Terminated)

North Dakota

Registered Investment Advisory firm - (8/28/2018 Terminated)

Texas

Registered Investment Advisory firm - (11/10/2004 Terminated)

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Contact information

Main Address

5354 Parkdale Drive Suite 103, Minneapolis, MN 55416

Mailing Address

Phone number

(952) 697-2570

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A & 2B (3/28/2025)

Regulatory assets under management

Total Number of Accounts	121
AUM (Assets Under Management)	$ 73,270,000

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Brian S. Mccleary

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

ATCAPITAL MANAGEMENT

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

GLOBAL PORTFOLIO STRATEGIES, INC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

CONTEGO CAPITAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/27/2007

Series 63

Date: 6/22/2001

SIE

Date: 10/1/2018

Series 7

Date: 5/21/2001

Current Firm

CONTEGO CAPITAL GROUP, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONTEGO CAPITAL GROUP, INC.

TRUST BUT VERIFY

Contact information

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