BS
Brandon W. Simmons
CETERA INVESTMENT ADVISERS LLC
DALLAS, TX 75248
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CRD#: 4860348
BS
Professional summary
Brandon Wayne Simmons is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas and CETERA WEALTH SERVICES, LLC located in Dallas, Texas.
Brandon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Brandon 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
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: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 01/2005 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REFERRAL COMPENSATION; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: AGENT; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: CASH MANAGEMENT SERVICES AND INSURANCE;
CRS (Client Relationship Summary) - RIA
Click below to view Brandon Wayne Simmons'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
August 26, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 16135 Preston Rd Suite 121, Dallas, TX 75248RIA
CRD#: 105644
DALLAS, TX
Current
August 26, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 16135 Preston Rd Suite 121, Dallas, TX 75248BD
CRD#: 13572
DALLAS, TX
Past
August 18, 2017 - August 26, 2024
ADVISOR RESOURCE COUNCIL
RIA
CRD#: 164109
Dallas, TX
Past
August 18, 2017 - September 5, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
DALLAS, TX
Past
June 30, 2009 - September 2, 2010
SECURITIES AMERICA, INC.
BD
CRD#: 10205
DALLAS, TX
Past
March 20, 2009 - August 18, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
PLANO, TX
Past
March 20, 2009 - August 18, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
PLANO, TX
Past
January 1, 2008 - March 24, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PLANO, TX
Past
January 1, 2008 - March 24, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PLANO, TX
Past
November 24, 2004 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
PLANO, TX
Past
November 12, 2004 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
PLANO, TX
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(8/26/2024)
RR
Florida(8/26/2024)
RR
Georgia(8/26/2024)
RR
Idaho(8/26/2024)
RR
Kansas(8/26/2024)
RR
Missouri(8/26/2024)
RR
Oregon(8/26/2024)
RR
Texas(8/26/2024)
IAR
Texas(8/26/2024)
RR
Washington(8/26/2024)
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Dallas, TX 75248TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
