AB
Alan I. Brown
CETERA INVESTMENT ADVISERS LLC
KETTERING, OH
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CRD#: 5224596
AB
Professional summary
Alan I Brown, who also goes by Al Brown, Alan I. Brown, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Kettering, Ohio and CETERA WEALTH SERVICES, LLC located in Springboro, Ohio.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Alan has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Al Brown | Alan I. Brown
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) Pohlman, Talmage, Brown & Campbell CPAs, Inc.; 3445 S Dixie Dr Ste 200, Dayton, OH 45439; Accounting Services/Tax Preparation, Employee; 11/1/2018; 80hrs; 80hrs; Provide tax and consulting services to business and individuals. 2) COX ARBORETUM FOUNDATION POSITION: President NATURE: Unpaid volunteer position. I set agenda and lead quarterly board meetings. Cox Arboretum foundation is a 501(c)(3) organization. The Arboretum is a park that is part of the 5 Rivers Metro Park system in the Dayton Ohio area, We approve expenditures for improvements and maintenance of the park INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2021 ADDRESS: 6733 N Springboro Pike, Dayton OH 45449, United States DESCRIPTION: I am an unpaid volunteer. I ask people to report at the quarterly board meetings; set agendas with professional staff; field complaints, write an article for the quarterly newsletter. I run the meetings and facilitate the discussion. 3) PTBC CPAS/FINANCIAL SERVIES POSITION: Employee NATURE: Accounting Services/Tax Preparation INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 25 START DATE: 11/01/2018 ADDRESS: 3445 S Dixie Dr Ste 200, Dayton OH 45439, United States DESCRIPTION: Provide tax and consulting services to business and individuals.
CRS (Client Relationship Summary) - RIA
Click below to view Alan I Brown'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 36 S Richards Run Suite C, Springboro, OH 45066RIA
CRD#: 105644
KETTERING, OH
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 36 S Richards Run Suite C, Springboro, OH 45066BD
CRD#: 13572
Springboro, OH
Past
November 19, 2010 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Springboro, OH
Past
November 5, 2007 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Springboro, OH
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
District of Columbia(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Illinois(9/5/2025)
RR
Maryland(9/5/2025)
RR
New York(9/5/2025)
RR
Ohio(9/5/2025)
IAR
Ohio(9/5/2025)
Exams
State Security Law Exam
State Security Law 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.
