BB
Brock J. Brannon
CETERA INVESTMENT ADVISERS LLC
VANDALIA, IL 62471
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CRD#: 4712024
BB
Professional summary
Brock Joseph Brannon is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Vandalia, Illinois and CETERA WEALTH SERVICES, LLC located in Vandalia, Illinois.
Brock is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Brock has worked at 5 firms and has passed the Series 66, 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.
1. NAME OF OTHER BUSINESS: THE FNB COMMUNITY BANK INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: BANK / SECURITIES DBA START DATE: 06/2019 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PROFESSIONAL 2. NAME OF OTHER BUSINESS: FNB FINANCIAL ADVISORS DBA INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR MARKETING AND FINANCIAL SERVICES START DATE: 11/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32 BRIEF DESCRIPTION OF DUTIES: I PROVIDE BROKERAGE AND ADVISORY SERVICES TO CLIENTS WHEN NEEDED 3. NAME OF OTHER BUSINESS: VANDALS SPORTS BOOSTER CLUB INVESTEMENT RELATED: NO ADDRESS: VANDALIA, IL NATURE OF BUSINESS: BOARD FIDUCIARY POSITION START DATE: 09/2023 POSITION/TITLE/RELATIONSHIP: TREASURER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: SERVE ON BOARD, HANDLE DEPOSITS FROM TAILGATE EVENTS, AND PAY BILLS AS NEEDED
CRS (Client Relationship Summary) - RIA
Click below to view Brock Joseph Brannon'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
December 6, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 311 Banker Blvd, Vandalia, IL 62471RIA
CRD#: 105644
VANDALIA, IL
Current
December 5, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 311 Banker Blvd, Vandalia, IL 62471BD
CRD#: 13572
Vandalia, IL
Past
October 23, 2017 - December 9, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Vandalla, IL
Past
October 23, 2017 - December 9, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Vandalia, IL
Past
November 9, 2006 - October 24, 2017
INVESTMENT CENTERS OF AMERICA, INC.
RIA
CRD#: 16443
VANDALIA, IL
Past
September 7, 2006 - October 24, 2017
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
VANDALIA, IL
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
Arizona(12/17/2024)
RR
California(12/6/2024)
RR
Colorado(12/9/2024)
RR
Florida(12/6/2024)
RR
Georgia(12/6/2024)
RR
Illinois(12/6/2024)
IAR
Illinois(12/6/2024)
RR
Indiana(12/6/2024)
RR
Kentucky(12/10/2024)
RR
Missouri(12/9/2024)
RR
North Carolina(4/1/2025)
RR
Ohio(12/6/2024)
RR
Tennessee(12/6/2024)
Exams
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#: 105644Vandalia, IL 62471TRUST BUT VERIFY
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