BC
Brian T. Collard
STIFEL INDEPENDENT ADVISORS
VENTURA, CA
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CRD#: 5063160
BC
Professional summary
Brian Thomas Collard, CFP® is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in Ventura, California.
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 6 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. Happy Days, LLC; 1421 S Wilton Way, Salt Lake City, UT 84108; Personal LLC for inherited property; Owner/Manager; Property maintenance; 12/10/2020; 3 Hours per Year; Not during securities trading hour; Investment-Related 2. Bear Lake Yacht Club; 940 Bear Lake Blvd, Garden City, UT 84028; Recreational boating club, non-profit, collects dues from members for social events and sailboat racing; Vice Commodore; Organize events, oversee collection of club dues, strategic planning; 01/02/2023; 2 Hours per Month; Not during securities trading hours; Not Investment-Related. 3. Arc Wealth Management LLC 401k PSP; 1240 E 2100 S Salt Lake City UT 84108; Trustee; Oversee financial operations of retirement plan for ourselves and our employees; 10/1/2012; 0 hours per day; not during security trading hours; inv related 4. ARC Wealth Management, LLC; 1240 East 2100 South Suite 400, Salt Lake City, UT 84106; Financial Advisory; Owner; General Administration; 08/01/2012; 1 Hour per Day; During Securities Trading Hours; Investment-Related 5. BTC Advisors LLC; 1421 S Wilton Way Salt Lake City UT 84108; owner; operating entity for business; 8/1/12; 60 hours per week; during securities trading hours; investment related 6. Legacy Marine, LLC; 3615 South Victoria Avenue Oxnard CA 93035; Boatyard that performs maintenance and painting on boats; 1/3 Owner, Chief Financial Officer; Oversee the financial aspects of the business; 06/01/2024; 16 hrs/month; not during security trading hours; Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Brian Thomas Collard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Thomas Collard'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: 2008
Experience
Current
June 20, 2023 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #2: 1240 East 2100 South Suite 400, Salt Lake City, UT 84106RIA
BD
CRD#: 28218
VENTURA, CA
Current
June 20, 2023 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #2: 1240 East 2100 South Suite 400, Salt Lake City, UT 84106RIA
BD
CRD#: 28218
VENTURA, CA
Past
August 23, 2012 - July 5, 2023
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
SALT LAKE CITY, UT
Past
August 23, 2012 - July 5, 2023
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
SALT LAKE CITY, UT
Past
June 1, 2009 - September 11, 2012
MORGAN STANLEY
RIA
CRD#: 149777
SALT LAKE CITY, UT
Past
June 1, 2009 - September 11, 2012
MORGAN STANLEY
BD
CRD#: 149777
SALT LAKE CITY, UT
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
SALT LAKE CITY, UT
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SALT LAKE CITY, UT
Past
February 22, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SALT LAKE CITY, UT
Past
January 30, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
SALT LAKE CITY, UT
Past
December 1, 2005 - February 6, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
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".
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
Alabama(7/6/2023)
RR
Arizona(6/20/2023)
RR
California(6/20/2023)
IAR
California(6/3/2025)
RR
Florida(6/20/2023)
RR
Idaho(6/20/2023)
RR
Montana(6/20/2023)
RR
Nevada(6/20/2023)
RR
New Jersey(6/20/2023)
RR
New Mexico(6/20/2023)
RR
New York(6/20/2023)
RR
North Carolina(6/20/2023)
RR
Oregon(6/20/2023)
RR
Pennsylvania(6/20/2023)
RR
Texas(7/12/2023)
IAR
Texas(7/12/2023)
RR
Utah(6/20/2023)
IAR
Utah(6/20/2023)
RR
Washington(6/20/2023)
RR
Wisconsin(6/20/2023)
RR
Wyoming(6/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One Financial Plaza 501 North Broadway, St Louis, MO 63102
Mailing Address
One Financial Plaza 501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-4051
Established
Missouri since 05/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
206
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | OWNER-HOLDING COMPANY OWNING 100% | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
| ZEMLYAK, JAMES MARK | MANAGER, BOARD OF MANAGERS | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 | ||
| 11/28/2022 |
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.
