RB
Roger D. Brunk
CETERA INVESTMENT ADVISERS LLC
FORT SMITH, AR 72903
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CRD#: 4399907
RB
Professional summary
Roger Dale Brunk JR., AIF®, who also goes by Dale Brunk, Roger Dale Brunk, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fort Smith, Arkansas and CETERA WEALTH SERVICES, LLC located in Fort Smith, Arkansas.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Roger has worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dale Brunk | Roger Dale Brunk
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) LIBERTY, INC; OWNER; RENTAL PROPERTY; IR; HRS 0; HRS 0; 06/01/2006; Sallisaw OK; Owner 2) LIBERTY INVESTMENTS, LLC; owner; holding company to hold/own my interest of other real estate companies; IR; HRS 0; HRS 0; 11/01/2017; Roland OK; holding company only. 2) AJ GALLAGHER; referring agent; I have ZERO ownership in AJ Gallagher(AJG).AJG is a publicly traded health insurance brokerage...I am 100% owner of the referral relationship that gets referral fees if I refer business to AJG I will be listed as a co-broker with AJ Gallagher to receive 25% commission on health insurance and supplemental health insurance products (dental, vision, accidental are examples); NIR; HRS 1; HRS 1; 10/01/2018; 3101 S. 70th St., Fort Smith AR 72903; make a client referral to AJ Gallagher. 3) 3 GOODFELLAS, LLC POSITION: 1/3 owner NATURE: 502 SW A, LLC purchased real estate lot in downtown Bentonville; for liability purposes. INV REL: Yes # OF HRS: 1 TRADING HRS: 0 START: 01/15/2018; ADDR: Roland OK; DESCR: 1/3 owner. 4) LIBERTY CAPITAL INVESTMENTS, LLC POSITION: 100% owner NATURE: holding company to hold/own my interest of real estate companies that have been approved by 1st Global. easier for my family to control in the event of my death/incapacity. INV REL: No # OF HRS: 1 TRADING HRS: 1 START: 11/01/2017; ADDR: PO Box 250, Roland OK; DESCR: holding company only, no duties beyond owning real estate. 5) SYNERGY REAL ESTATE GROUP, LLC; MEMBER; owns residential properties (apartments, townhomes, duplexes, etc.) for purpose of renting; NIR; HRS 5; HRS 0; 06/01/2007; PO Box 681, Roland OK 74954; own, provide Capital, look for and analyze if property is to be purchased, sold or passed on 6)LANDMARK FINANCIAL MANAGEMENT, LLC; owner, advisor; Is a wealth management division of Landmark Financial The entity name Landmark Financial; NIR; HRS 10; HRS 5; 01/01/21; Surprise AZ 85378; I will serve in an advisor capacity just as I do for Landmark Financial, LLC 7) COMPASS PROPERTIES OF FORT SMITH, LLC; owner; real estate holding company that will own the Fort Smith building in which Landmark CPAs and Landmark Financial operate; NIR; HRS 1; HRS 0; 11/01/2021; 3101 South 70th Street, Fort Smith AR 72903; I will own my equal prorate portion of the entity...all other owners will be partners of Landmark CPAs or Landmark Financial. I will be a voting owner but will not have day-to-day decision making responsibility nor control bank account 8) LANDMARK FINANCIAL, LLC POSITION: Financial Advisor, Member NATURE: exact same as Beall Barclay Wealth Management, LLC, we are just changing the name of the entity. this is how we will marketing our 1st Global wealth management services to the public INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/01/2018 ADDRESS: 3101 South 70th St., Fort Smith AR 72903 DESCRIPTION: Financial Advisor. 9) Merchant Processing, LLC; Owner; An independent sales representative (ISR) for merchant credit card processing; NIR; 1; 0; 01/01/2026; PO Box 250 Roland OK 74954; my duties would be to setup the entity, work with the attorney and CPA to organize the entity, manage at the head of the organization such as a CEO or Chairman of the board. I anticipate spending 1-5 hours a week on this activity. I would make introductions to large relationships that could become referral sources to the sales team (example, local bank relationship). I would like to prepare for, hold, attend monthly board meetings
CRS (Client Relationship Summary) - RIA
Click below to view Roger Dale Brunk JR.'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®
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3101 South 70th Street, Fort Smith, AR 72903Office #2: 209 West Main Street Suite 2, Russellville, AR 72801RIA
CRD#: 105644
FORT SMITH, AR
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3101 South 70th Street, Fort Smith, AR 72903BD
CRD#: 13572
FORT SMITH, AR
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Fort Smith, AR
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
FORT SMITH, AR
Past
April 25, 2008 - October 27, 2008
BEALL BARCLAY ADVISORS, LLC
RIA
CRD#: 133278
FORT SMITH, AZ
Past
November 18, 2002 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
FORT SMITH, AR
Past
November 11, 2002 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
FORT SMITH, AR
Past
February 7, 2002 - November 20, 2002
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
LITTLE ROCK, AR
Past
July 30, 2001 - November 20, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
Alabama(9/5/2025)
RR
Arizona(9/5/2025)
RR
Arkansas(9/5/2025)
IAR
Arkansas(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Idaho(9/18/2025)
RR
Illinois(9/18/2025)
RR
Indiana(9/5/2025)
RR
Kentucky(9/18/2025)
RR
Louisiana(9/5/2025)
RR
Maine(9/5/2025)
RR
Mississippi(9/5/2025)
RR
Missouri(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Oklahoma(9/5/2025)
RR
Oregon(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
General Industry/Product 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.
