BB
Brian J. Behrens
LPL ENTERPRISE
ST. LOUIS PARK, MN 55426-0134
Some features on this profile are disabled
CRD#: 5033407
BB
Professional summary
Brian Jay Behrens, who also goes by Brian J Behrens, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in St. Louis Park, Minnesota.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Brian has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian J Behrens
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) 12/03/2024- Greater Midwest Insurance- Property and Casualty- Commercial Insurance Sales- INV Related- At St. Louis Park, MN- Start date 10/12/2021- 5 HRS MTH- 5 HRS During Trading 2) 11/25/2024- ZandB Properties LLC- Real Estate Rental- I manage 3 rental properties. This includes collecting rent, repairs and maintenance to the properties, general labor that the buildings require. 317 1st St W Park Rapids, MN, 107 Grove Ave S Park Rapids, MN and 813 W 4th St Morris, MN.- INV Related-At St. Louis Park, MN- Start date 12/01/2017- 1 HRS MTH- 1 HRS During Trading 3) 11/22/2024- Itasca Mantrap Electric Co-Op Board Member- Non-Profit Board Member- Meetings, trainings, conferences etc. with no financial responsibilities- Not INV Related- At St. Louis Park, MN- Start date 06/01/2014- 5 HRS MTH- 5 HRS During Trading 4) 11/14/2024- True North Financial Group- DBA for LPL Business (entity for LPL business)- Sales and Service for investment and insurance products- INV Related- At St. Louis Park, MN- Start date 03/10/2023- 80 HRS MTH- 80 HRS During Trading 5) 11/27/2024- Lake Emma Township Board - Supervisor- Politics/ Government- Not INV Related- At St. Louis Park, MN- Start date 01/01/2011- 4 HRS MTH- 0 HRS During Trading 6) 11/14/2024- Z and B Properties LLC- Registered Investment Advisor DBA- Created contracts to rent office and homes, pay bills and maintain properties.- INV Related- At St. Louis Park, MN- Start date 12/01/2017- 1 HRS MTH- 0 HRS During Trading 7) 11/27/2024- Lake Emma Township- Non-Profit Board Member- Lake Emma Township is a municipality. I am a Supervisor, one of five Board Members. A majority vote is required of the three supervisors on the Board. I am not a founder of the organization. I do not provide investment advice to the Board.- INV Related- At St. Louis Park, MN- Start date 01/03/2011- 5 HRS MTH- 0 HRS During Trading 8) 11/14/2024- Leclair General Agency for Health and Medicare Insurance- Non-Variable Insurance- Health and Medicare Insurance Sales- inv. related - at Park Rapids, MN- start date 10/01/2013- 5hrs/mnth- 5hrs during trading 9) 07/08/2025-Prudential Sponsored Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location(s)
CRS (Client Relationship Summary) - RIA
Click below to view Brian Jay Behrens's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Jay Behrens'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
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 600 S Highway 169 Suite 1000, St. Louis Park, MN 55426-0134Office #2: 317 - 1st St W, Park Rapids, MN 56470RIA
BD
CRD#: 8733
ST. LOUIS PARK, MN
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 600 S Highway 169 Suite 1000, St. Louis Park, MN 55426-0134Office #2: 317 - 1st St W, Park Rapids, MN 56470RIA
BD
CRD#: 8733
ST. LOUIS PARK, MN
Past
November 17, 2020 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ST. LOUIS PARK, MN
Past
November 17, 2020 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ST. LOUIS PARK, MN
Past
December 19, 2013 - November 20, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
PARK RAPIDS, MN
Past
November 2, 2005 - November 20, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
PARK RAPIDS, MN
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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(11/14/2024)
RR
Florida(11/15/2024)
RR
Minnesota(11/14/2024)
IAR
Minnesota(11/14/2024)
RR
North Carolina(11/14/2024)
RR
North Dakota(11/14/2024)
RR
South Dakota(11/14/2024)
RR
Texas(8/23/2025)
RR
Virginia(8/23/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
