KB
Kiersten A. Banaszak
CETERA INVESTMENT ADVISERS LLC
BROOKFIELD, WI 53045
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CRD#: 4826863
KB
Professional summary
Kiersten Anna Banaszak, who also goes by Kiersten Anna Brown, Kiersten Anna Ward, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Brookfield, Wisconsin and CETERA WEALTH SERVICES, LLC located in Brookfield, Wisconsin.
Kiersten is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Kiersten has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kiersten Anna Brown | Kiersten Anna Ward
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: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 4/2017 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES, AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: BENEVEST & ASSOCIATES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR; START DATE: 11/2022; POSITION/TITLE/RELATIONSHIP: CHIEF COMPLIANCE OFFICER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: RESPONSIBLE FOR ENSURING RIA BUSINESS IS CONDUCTED COMPLIANTLY 3. NAME OF OTHER BUSINESS: BENETRAK INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ASSISTANT MANAGER, ASSIST WITH PARTICIPANT 401(K) ENROLLMENTS FOR BENETRAK 401(K) PLANS START DATE: 6/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: ASSISTANT MANAGER 4. NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 2008; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ; 5. NAME OF OTHER BUSINESS: LIMELIFE BY ALCONE, INDEPENDENT BEAUTY GUIDE KIERSTEN BANASZAK; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: MAKEUP AND SKINCARE; START DATE: XXDATEXX POSITION/TITLE/RELATIONSHIP: INDEPENDENT BEAUTY GUIDE APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: SHARING MAKEUP AND SKINCARE PRODUCTS WITH FAMILY AND FRIENDS; 6. NAME OF OTHER BUSINESS: THE BENEFIT COMPANIES; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 6/2025, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Kiersten Anna Banaszak'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 250 N Patrick Blvd Ste 100, Brookfield, WI 53045RIA
CRD#: 105644
BROOKFIELD, WI
Current
July 5, 2017 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 250 N Patrick Blvd Ste 100, Brookfield, WI 53045BD
CRD#: 13572
Brookfield, WI
Past
July 5, 2017 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BROOKFIELD, WI
Past
June 12, 2013 - July 5, 2017
SII INVESTMENTS, INC.
RIA
CRD#: 2225
BROOKFIELD, WI
Past
June 12, 2013 - July 5, 2017
SII INVESTMENTS, INC.
BD
CRD#: 2225
BROOKFIELD, WI
Past
May 17, 2012 - June 4, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
MILWAUKEE, WI
Past
January 3, 2011 - May 4, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MILWAUKEE, WI
Past
January 3, 2011 - May 4, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MILWAUKEE, WI
Past
July 10, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
RACINE, WI
Past
May 22, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
RACINE, WI
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(10/25/2019)
RR
Colorado(1/2/2019)
RR
District of Columbia(1/16/2020)
RR
Florida(7/7/2022)
RR
Illinois(7/5/2017)
RR
Indiana(6/22/2022)
RR
Iowa(6/4/2024)
RR
Kansas(7/6/2023)
RR
Maryland(10/26/2021)
RR
Michigan(6/4/2024)
RR
Minnesota(11/4/2022)
RR
New Jersey(3/15/2023)
RR
North Carolina(10/27/2023)
RR
Ohio(6/7/2024)
RR
Pennsylvania(3/16/2022)
RR
Tennessee(4/17/2024)
RR
Texas(10/27/2023)
IAR
Texas(10/27/2023)
RR
Utah(6/7/2024)
RR
Virginia(10/27/2023)
RR
Washington(12/23/2024)
RR
Wisconsin(7/5/2017)
IAR
Wisconsin(6/29/2023)
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
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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#: 105644Brookfield, WI 53045TRUST BUT VERIFY
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