Brian R. Plain

GRADIENT ADVISORS

La Grange, IL 60525

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CRD#: 4866829

Professional summary

Brian Reilly Plain, CFP®, who also goes by Brian Plain, is a registered financial advisor currently at GRADIENT ADVISORS, LLC located in La Grange, Illinois.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Brian has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Plain

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)Brian Plain - Business Consultant - Consulting services provided to small business owners focused on business management and growth. Start Date: 06/01/2015, 6 hours a month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Reilly Plain'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

November 13, 2014 - Present

GRADIENT ADVISORS, LLC

Office #1: 21 S. La Grange Rd, Ste 200 Office# V-007, La Grange, IL 60525

RIA

CRD#: 152665

La Grange, IL

Past

June 30, 2010 - November 14, 2014

AUSDAL FINANCIAL PARTNERS, INC.

RIA

CRD#: 7995

OAK PARK, IL

Past

June 30, 2010 - November 14, 2014

AUSDAL FINANCIAL PARTNERS, INC.

CRD#: 7995

OAK PARK, IL

Past

September 14, 2009 - July 8, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

OAK PARK, IL

Past

September 14, 2009 - July 8, 2010

LPL FINANCIAL LLC

CRD#: 6413

OAK PARK, IL

Past

May 4, 2009 - September 9, 2009

WATERSTONE FINANCIAL GROUP, INC.

RIA

CRD#: 10078

PALATINE, IL

Past

May 4, 2009 - September 9, 2009

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

PALATINE, IL

Past

April 13, 2006 - April 1, 2009

WOLF FINANCIAL MANAGEMENT, LLC

RIA

CRD#: 44225

OAK BROOK, IL

Past

April 13, 2006 - April 1, 2009

WOLF FINANCIAL MANAGEMENT, LLC

CRD#: 44225

OAK BROOK, IL

Past

November 1, 2005 - March 31, 2006

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

PHOENIX, AZ

Past

March 30, 2005 - March 31, 2006

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

October 25, 2004 - March 8, 2005

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

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".

GRADIENT ADVISORS, LLC

CRD#: 152665 / SEC#: 801-71000

RIA

Registered Investment Advisory firm - (2/10/2010 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.

Highlighted states indicate IAR registrations

IAR

Illinois
(11/13/2014)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/24/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/10/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/14/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/26/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/23/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/27/2006

General Securities Principal Examination

Current Firm

GRADIENT ADVISORS, LLC

CRD#: 152665 / SEC#: 801-71000

RIA

Registered Investment Advisory firm - (2/10/2010 Approved)

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Contact information

Main Address

4105 Lexington Avenue N. Suite 225, Arden Hills, MN 55126

Mailing Address

Phone number

(877) 885-0508

Established

Firm type

Fiscal year end

# of Employees

169

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2B 10-2025 (10/21/2025)

Regulatory assets under management

Total Number of Accounts	3,222
AUM (Assets Under Management)	$ 218,611,410

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 R. Plain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Reilly Plain's CRS (Customer Relationship Summary).

Certified licenses

Experience

AUSDAL FINANCIAL PARTNERS, INC.

AUSDAL FINANCIAL PARTNERS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WATERSTONE FINANCIAL GROUP, INC.

WATERSTONE FINANCIAL GROUP, INC.

WOLF FINANCIAL MANAGEMENT, LLC

WOLF FINANCIAL MANAGEMENT, LLC

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

MFS FUND DISTRIBUTORS, INC.

Primary Firm SEC Registration

GRADIENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/24/2005

Series 63

Date: 11/10/2004

SIE

Date: 11/14/2014

Series 7

Date: 9/26/2005

Series 6

Date: 10/23/2004

Series 24

Date: 6/27/2006

Current Firm

GRADIENT ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRADIENT ADVISORS, LLC

TRUST BUT VERIFY

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