BD
Brenda S. Dozier
CETERA INVESTMENT ADVISERS LLC
Sandy Springs, GA 30328
Some features on this profile are disabled
CRD#: 5226643
BD
Professional summary
Brenda S Dozier, who also goes by Brenda Sue Dozier, Brenda S Gonzalez, Brenda S Hinkle, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sandy Springs, Georgia and CETERA WEALTH SERVICES, LLC located in Sandy Springs, Georgia.
Brenda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Brenda has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brenda Sue Dozier | Brenda S Gonzalez | Brenda S Hinkle
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) RETIREMENT PLANNING; INVESTMENT RELATED; SAME ADDRESS OF THE REGISTERED BRANCH; TEACH RETIREMENT CLASSES IN DECATUR, GA, SAND SPRINGS, GA, AND ATLANTA, GA; INSTRUCTOR; 01/01/2013; APPX 5 HOURS/MONTH; APPX 0 HOURS/MONTH DURING TRADING; TEACH CLASSES TO COMMUNITY MEMBERS ABOUT RETIREMENT PLANNING. I TEACH AT EMORY UNIVERSITY FOR OLLI, OGLETHORPE-CONTINUING EDUCATION DEPARTMENT, DECATUR AND SANDY SPRINGS RETIREMENT PLANNING TODAY PROGRAM VIA FMT SOLUTIONS (2)NAME OF OTHER BUSINESS: MONEYWISE DIVORCE INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA/DIVORCE PLANNING POSITION/TITLE/RELATIONSHIP: CERTIFIED DIVORCE FINANCIAL ANALYST START DATE: 06/2016 APX NUMBER OF HOURS PER WEEK: 1-2 APX NUMBER OF HOURS DURING TRADING HOURS: 1-2 BRIEF DESCRIPTION OF DUTIES: I HELP DIVORCING INDIVIDUALS AND COUPLES MAKE SURE THEY WORK WITH ATTORNEYS AND MEDIATORS TO GET EQUITABLE DIVORCES NOW AND FOR THEIR POST-DIVORCE LIVES (3) BOOK ROYALTIES; NOT INVESTMENT RELATED; 4561 OLDE PERIMETER WAY APT 506 ATLANTA, GA 30346; RECEIVE SMALL ROYALTY CHECK ONCE A YEAR FROM SALE OF SELF-PUBLISHED BOOKS; AUTHOR; 01/01/2004; APPX 0 HOURS/MONTH; APPX 0 HOURS/MONTH DURING TRADING; SELF PUBLISHED ONE BOOK FOR COUNSELORS TO HELP DIVORCING PARENTS ONE BOOK PUBLISHED ADJUST OT THE DIVORCE THESE BOOKS ARE ON AMAZON AND BARNES AND NOBLE ONLINE WEBSITES AND I RECEIVE A SMALL ROYALTY CHECK ONCE A YEAR (4) MONEYWISE RETIREMENT; INVESTMENT RELATED; SAME ADDRESS AS REGISTERED BRANCH; DBA NAME FOR RETIREMENT PLANNING; PRESIDENT/RICP; 03/01/2018; APPX 50 HOURS/MONTH; APPX 8 HOURS/MONTH DURING TRADING; TEACH RETIREMENT PLANNING, DEVELOP PLANS FOR PROSPECTIVE CLIENTS AND MANAGE VIA THIRD PARTY MONEY MANAGER AND BROKERAGE SERVICES ASSETS AND MONITOR PLAN (5) NAME OF OTHER BUSINESS: MORTGAGE STRATEGIES ; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: MORTGAGE SERVICES ; START DATE: 09/2019 POSITION/TITLE/RELATIONSHIP: FINANCIAL PLANNER APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: : PROVIDE PROPER MORTGAGE UNCOVERED DURING FINANCIAL PLANS ; (6) NAME OF OTHER BUSINESS: HOME AND AUTO INSURANCE PLANS ; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: P&C INSURANCE ; START DATE: 09/2019 ; POSITION/TITLE/RELATIONSHIP: FINANCIAL PLANNER APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: PROVIDE PROPER INSURANCE COVERAGE UNCOVERED DURING FINANCIAL PLANS ; (7) NAME OF OTHER BUSINESS: DRBRENDADOZIERLLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 03/2018; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: BUSINESS FOR MEETING PAYROLL EXPENSE;
CRS (Client Relationship Summary) - RIA
Click below to view Brenda S Dozier'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
March 23, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6099 Boylston Drive, Sandy Springs, GA 30328RIA
CRD#: 105644
Sandy Springs, GA
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SANDY SPRINGS, GA
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
January 14, 2019 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
SANDY SPRINGS, GA
Past
January 9, 2019 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
SANDY SPRINGS, GA
Past
November 8, 2013 - January 10, 2019
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
SANDY SPRINGS, GA
Past
November 8, 2013 - January 10, 2019
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
SANDY SPRINTS, GA
Past
March 1, 2010 - November 8, 2013
BANCORPSOUTH INVESTMENT SERVICES, INC.
RIA
CRD#: 46259
AUBURN, AL
Past
March 1, 2010 - November 8, 2013
BANCORPSOUTH INVESTMENT SERVICES, INC.
BD
CRD#: 46259
AUBURN, AL
Past
September 30, 2008 - February 18, 2010
FIRST LEGACY SECURITIES, LLC
RIA
CRD#: 47079
AUBURN, AL
Past
September 30, 2008 - February 18, 2010
FIRST LEGACY SECURITIES, LLC
BD
CRD#: 47079
AUBURN, AL
Past
April 17, 2008 - September 26, 2008
SUNSET FINANCIAL SERVICES, INC.
RIA
CRD#: 3538
AUBURN, AL
Past
September 25, 2007 - September 26, 2008
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
AUBURN, AL
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(9/20/2019)
RR
Colorado(9/2/2025)
RR
Florida(9/23/2019)
RR
Georgia(9/20/2019)
IAR
Georgia(3/23/2023)
RR
South Carolina(11/22/2023)
RR
South Dakota(5/28/2025)
RR
West Virginia(11/6/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
