Brian P. Giesting

SOUDERS FINANCIAL ADVISORS

Cincinnati, OH 45248

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CRD#: 4673486

Professional summary

Brian Patrick Giesting, who also goes by Brian Giesting, is a registered financial advisor currently at SOUDERS FINANCIAL ADVISORS, LLC located in Cincinnati, Ohio and PRIVATE CLIENT SERVICES, LLC located in Cincinnati, Ohio.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Brian has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Giesting

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) INSURANCE BUSINESS (SALES) 2) IAR OF SOUDERS FINANCIAL ADVISORS (SFA) 5968 BRIDGETOWN ROAD, CINCINNATI, OH. INVESTMENT ADVISOR REPRESENTATIVE OF SFA. IAR. 3) SOUDERS FINANCIAL GROUP. 5968 BRIDGETOWN RD, CINCINNATI, OH. DBA NAME FOR BROKERAGE BASED SECURITIES BUSINESS. SELLING SECURITIES. 32 HOURS/MO; 32 DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Patrick Giesting'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

June 21, 2018 - Present

SOUDERS FINANCIAL ADVISORS, LLC

Office #1: 5968 Bridgetown Road, Cincinnati, OH 45248

RIA

CRD#: 296780

Cincinnati, OH

Current

June 1, 2018 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 5968 Bridgetown Road, Cincinnati, OH 45248

RIA

CRD#: 120222

Cincinnati, OH

Past

July 31, 2012 - June 6, 2018

LPL FINANCIAL LLC

CRD#: 6413

CINCINNATI, OH

Past

September 22, 2011 - June 11, 2018

ADVANTAGE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 146236

CINCINNATI, OH

Past

October 11, 2007 - July 31, 2012

NATIONAL PLANNING CORPORATION

CRD#: 29604

CINCINNATI, OH

Past

February 5, 2007 - September 17, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CINCINNATI, OH

Past

August 18, 2003 - January 4, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, 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".

SOUDERS FINANCIAL ADVISORS, LLC

CRD#: 296780 / SEC#: 801-113263

RIA

Registered Investment Advisory firm - (5/21/2018 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.

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

Alabama
(1/3/2023)

California
(6/1/2018)

Colorado
(6/1/2018)

Florida
(6/1/2018)

Georgia
(1/3/2023)

Indiana
(6/1/2018)

Kentucky
(6/1/2018)

Michigan
(6/1/2018)

North Carolina
(8/21/2019)

Ohio
(6/1/2018)

IAR

Ohio
(6/21/2018)

Wisconsin
(6/1/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/18/2003

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: 8/14/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/4/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/23/2005

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

SOUDERS FINANCIAL ADVISORS, LLC

CRD#: 296780 / SEC#: 801-113263

RIA

Registered Investment Advisory firm - (5/21/2018 Approved)

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Contact information

Main Address

5968 Bridgetown Road, Cincinnati, OH 45248

Mailing Address

Phone number

(513) 598-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOUDERS FINANCIAL ADVISORS FORM ADV PART 2A (MARCH 2025) (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,232
AUM (Assets Under Management)	$ 1,065,305,147

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.

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Advisor Monitoring

Firm Stability Insights

Brian P. Giesting

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Patrick Giesting's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

LPL FINANCIAL LLC

ADVANTAGE INVESTMENT MANAGEMENT, LLC

NATIONAL PLANNING CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

SOUDERS FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/18/2003

SIE

Date: 10/1/2018

Series 7

Date: 8/14/2003

Series 10

Date: 8/4/2007

Series 9

Date: 12/23/2005

FINRA

Current Firm

SOUDERS FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOUDERS FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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