BC
Brent F. Clabaugh
CETERA INVESTMENT ADVISERS LLC
HANOVER, PA 17331
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CRD#: 5291384
BC
Professional summary
Brent F Clabaugh is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hanover, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Hanover, Pennsylvania.
Brent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Brent has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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: FIXED INSURANCE WITH VARIOUS COMPANIES,
INVESTMENT RELATED: YES,
ADDRESS: SAME AS REGISTERED OFFICE,
NATURE OF BUSINESS: FIXED INSURANCE - LIFE,
POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE,
START DATE: 2007,
APPROX NUMBER OF HOURS PER WEEK: 40,
BRIEF DESCRIPTION OF DUTIES: SALES AND SERVICE;
2. NAME OF OTHER BUSINESS: RIGGLE WEALTH GROUP, LLC DBA RIGGLE & ASSOCIATES, LLC;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: FINANCIAL PLANNING & INVESTMENT MANAGEMENT;
START DATE: 10/2019;
POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR;
APX NUMBER OF HOURS PER WEEK: 40;
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5;
BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING & INVESTMENT MANAGEMENT;
3. NAME OF OTHER BUSINESS: RCM INVESTMENTS, LLC;
INVESTMENT RELATED: NO;
ADDRESS: 100 FILBERT ST., HANOVER, PA 17331;
NATURE OF BUSINESS: COMMERCIAL RENTAL PROPERTY;
START DATE: 10/2019;
POSITION/TITLE/RELATIONSHIP: MEMBER;
APX NUMBER OF HOURS PER WEEK: 1;
APX NUMBER OF HOURS DURING TRADING HOURS: 1;
BRIEF DESCRIPTION OF DUTIES: HELP MANAGE PROPERTY WITH RENT, EXPENSES AND OTHER ITEMS;
4. NAME OF OTHER BUSINESS: DELONE CATHOLIC HS FINANCE COMMITTEE;
INVESTMENT RELATED: NO;
ADDRESS: 140 S. OXFORD AVE, MCSHERRYSTOWN, PA 17344;
NATURE OF BUSINESS: FINANCE COMMITTEE ;
START DATE: 06/2017;
POSITION/TITLE/RELATIONSHIP: FINANCE COMMITTEE MEMBER;
APX NUMBER OF HOURS PER WEEK: 2-4;
APX NUMBER OF HOURS DURING TRADING HOURS: 2-4;
BRIEF DESCRIPTION OF DUTIES: BUDGET PREP AND APPROVAL, DETERMINATION OF TUITION ASSISTANCE PROGRAMS, AND PAYMENT PLAN APPROVAL;
CRS (Client Relationship Summary) - RIA
Click below to view Brent F Clabaugh'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 100 Filbert St, Hanover, PA 17331RIA
CRD#: 105644
HANOVER, PA
Current
April 3, 2007 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 100 Filbert St, Hanover, PA 17331BD
CRD#: 13572
Hanover, PA
Past
June 13, 2008 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
HANOVER, 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".
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
Maryland(1/7/2020)
RR
Pennsylvania(4/17/2007)
IAR
Pennsylvania(6/29/2023)
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.
