Brian A. Face

FACE 2 FACE FINANCIAL PLANNING

Portage, MI 49024

Some features on this profile are disabled

CRD#: 5548274

Professional summary

Brian Allan Face, CFP®, who also goes by Brian Face, is a registered financial advisor currently at FACE 2 FACE FINANCIAL PLANNING, LLC located in Portage, Michigan.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Brian has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Core Areas of Focus

AUM

Baby Boomers

College/Education Planning

Fixed Fee (Subscription

Retainer

etc.)

Hourly

Retirement Planning & Distribution Rules

Question & Answer

What are your service offerings?

Retirement Planning

Employee and Employer Plan Ben...

Tax Planning

Education Planning

Investment Planning

Insurance Planning

Comprehensive Financial Planni...

Budgeting

Are you a "fiduciary"?

Yes

Aliases

Brian Face

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Allan Face'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^®

Certified Financial Planner

Start date: 2018

Experience

Current

October 31, 2016 - Present

FACE 2 FACE FINANCIAL PLANNING, LLC

Office #1: 7950 Moorsbridge Rd Ste 203, Portage, MI 49024

RIA

CRD#: 285630

Portage, MI

Past

July 2, 2015 - October 28, 2016

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

KALAMAZOO, MI

Past

March 26, 2015 - October 28, 2016

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

KALAMAZOO, MI

Past

September 29, 2008 - October 5, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ST. PETERSBURG, FL

Past

September 3, 2008 - October 5, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. PETERSBURG, FL

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.

Highlighted states indicate IAR registrations

IAR

Florida
(9/23/2022)

IAR

Michigan
(10/31/2016)

IAR

Texas
(2/13/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/15/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/28/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/26/2015

General Securities Representative Examination

Current Firm

FACE 2 FACE FINANCIAL PLANNING, LLC

CRD#: 285630 / SEC#:

Florida

Registered Investment Advisory firm - (9/23/2022 Approved)

Michigan

Registered Investment Advisory firm - (10/27/2016 Approved)

Texas

Registered Investment Advisory firm - (2/13/2017 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

7950 Moorsbridge Rd Ste 203, Portage, MI 49024

Mailing Address

Phone number

(269) 389-0422

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	120
AUM (Assets Under Management)	$ 23,800,000

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.

Similar Advisors

Derek Leighton

MWA FINANCIAL SERVICES INC.

Kalamazoo, MI

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian A. Face

Professional summary

Core Areas of Focus

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Allan Face's CRS (Customer Relationship Summary).

Certified licenses

Experience

FACE 2 FACE FINANCIAL PLANNING, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/15/2015

SIE

Date: 10/28/2016

Series 7

Date: 3/26/2015

Current Firm

FACE 2 FACE FINANCIAL PLANNING, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FACE 2 FACE FINANCIAL PLANNING, LLC

TRUST BUT VERIFY

Similar Advisors