BJ
Brett R. Jergens
CETERA INVESTMENT ADVISERS LLC
OVERLAND PARK, KS 66210
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CRD#: 5004913
BJ
Professional summary
Brett Ryan Jergens, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Overland Park, Kansas and CETERA ADVISORS LLC located in Toledo, Ohio.
Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Brett has worked at 4 firms and has passed the Series 63, Series 7TO and SIE 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: PROSPERITY ADVISORS LLC INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 07/2021, POSITION/TITLE/RELATIONSHIP: CHIEF INVESTMENT OFFICER, APX NUMBER OF HOURS PER WEEK: 50, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2) NAME OF OTHER BUSINESS: PROSPERITY TAX CENTER, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: TAX AND ACCOUNTING, START DATE: 03/2022, POSITION/TITLE/RELATIONSHIP: REFERRER, APX NUMBER OF HOURS PER WEEK: 2, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: REFER CLIENTS TO CPA; 3)NAME OF OTHER BUSINESS: PROSPERITY HOLDINGS, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: LLC, START DATE: 03/2022, POSITION/TITLE/RELATIONSHIP: PART OWNER APX NUMBER OF HOURS PER WEEK: 2, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: LLC TO RECEIVE INCOME FROM PROSPERITY ADVISORS; 4) NAME OF OTHER BUSINESS: PROSPERITY NETWORK OF ADVISORS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/2022, POSITION/TITLE/RELATIONSHIP: CHIEF INVESTMENT OFFICER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5) NAME OF OTHER BUSINESS: BRJ FINANCIAL, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: TAX SHELTER, START DATE: 12/2021, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 1, MAY BE DURING MARKET HOURS, BRIEF DESCRIPTION OF DUTIES LLC TO HOLD SHARES OF PROSPERITY ADVISORS, LLC FOR TAX PURPOSES; 6) NAME OF OTHER BUSINESS: PROSPERITY FINANCIAL PLANNING; INVESTMENT RELATED: YES; ADDRESS: 34 MAIN STREET EXTENSION, SUITE 201 PLYMOUTH, MA 02360; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Brett Ryan Jergens'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®
CFP®
Start date: 2005
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10955 Lowell Ave Ste 900 910, 920, 100, And 200, Overland Park, KS, 66210Office #2: 275 Springside Dr Ste 270, Akron, OH 44333Office #3: 11595 N Meridian St Ste 300, Carmel, IN 46032Office #4: 24 N Erie St, Toledo, OH 43604RIA
CRD#: 105644
OVERLAND PARK, KS
Current
September 20, 2021 - Present
CETERA ADVISORS LLC
Office #1: 24 N Erie St, Toledo, OH 43604Office #2: 10955 Lowell Ave Ste 900 910, 920, 100, & 200, Overland Park, KS, 66210Office #3: 11595 N Meridian St Ste 300, Carmel, IN 46032Office #4: 275 Springside Dr Ste 270, Akron, OH 44333BD
CRD#: 10299
Toledo, OH
Past
October 18, 2021 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
OVERLAND PARK, KS
Past
February 13, 2018 - April 21, 2020
TORTOISE CAPITAL ADVISORS, L.L.C.
RIA
CRD#: 123711
LEAWOOD, KS
Past
March 28, 2006 - May 8, 2006
SEARCY FINANCIAL SERVICES, INC.
RIA
CRD#: 105807
OVERLAND PARK, KS
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
Alabama(2/23/2022)
RR
Arizona(1/3/2022)
RR
Arkansas(8/23/2023)
RR
California(1/3/2022)
RR
Colorado(1/3/2022)
RR
Connecticut(8/7/2024)
RR
Delaware(8/26/2024)
RR
District of Columbia(2/23/2022)
RR
Florida(10/27/2021)
RR
Georgia(2/23/2022)
RR
Hawaii(1/10/2024)
RR
Idaho(10/25/2023)
RR
Illinois(2/23/2022)
RR
Indiana(1/21/2022)
IAR
Indiana(3/21/2024)
RR
Iowa(11/21/2023)
RR
Kansas(10/18/2021)
IAR
Kansas(3/21/2024)
RR
Kentucky(10/18/2023)
RR
Louisiana(1/3/2022)
RR
Maine(10/9/2024)
RR
Maryland(3/8/2022)
RR
Massachusetts(11/5/2021)
RR
Michigan(2/23/2022)
RR
Minnesota(1/3/2022)
RR
Mississippi(2/23/2022)
RR
Missouri(10/27/2021)
RR
Nebraska(12/2/2021)
RR
Nevada(1/5/2024)
RR
New Hampshire(3/3/2023)
RR
New Jersey(2/23/2022)
RR
New Mexico(1/3/2022)
RR
New York(2/23/2022)
RR
North Carolina(2/23/2022)
RR
Ohio(11/22/2021)
IAR
Ohio(3/21/2024)
RR
Oklahoma(2/23/2022)
RR
Oregon(9/19/2023)
RR
Pennsylvania(2/18/2022)
RR
Rhode Island(10/9/2024)
RR
South Carolina(3/8/2022)
RR
Tennessee(12/2/2021)
RR
Texas(10/18/2021)
IAR
Texas(3/21/2024)
RR
Utah(2/6/2024)
RR
Vermont(10/9/2024)
RR
Virginia(3/8/2022)
RR
Washington(3/8/2022)
RR
Wisconsin(2/23/2022)
RR
Wyoming(1/3/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/20/2021
General Securities Representative ExaminationGeneral 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.
