Brett A. Grider

CETERA INVESTMENT ADVISERS LLC

MOBILE, AL 36608

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CRD#: 5696328

Professional summary

Brett Alan Grider, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mobile, Alabama and CETERA INVESTMENT SERVICES LLC located in Mobile, Alabama.

Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Brett has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 9 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.

WEALTH ADVISOR AT HANCOCK WHITNEY; PROVIDE FINANCIAL PLANNING AND WILL THEN REFER TO THE APPROPRIATE SPECIALISTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Alan Grider's CRS (Customer Relationship Summary).

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: 2022

Experience

Current

August 10, 2022 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 25 West 1-65 Service Road North, Mobile, AL 36608

RIA

CRD#: 105644

MOBILE, AL

Current

August 10, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 25 West 1-65 Service Road North, Mobile, AL 36608

CRD#: 15340

MOBILE, AL

Past

May 4, 2022 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

RIA

CRD#: 40637

MOBILE, AL

Past

May 4, 2022 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637

MOBILE, AL

Past

February 16, 2022 - May 13, 2022

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Pensacola, FL

Past

January 26, 2022 - May 13, 2022

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Pensacola, FL

Past

April 4, 2019 - May 13, 2022

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

PENSACOLA, FL

Past

March 28, 2019 - May 13, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

PENSACOLA, FL

Past

March 27, 2019 - May 13, 2022

TD AMERITRADE, INC.

CRD#: 7870

PENSACOLA, FL

Past

July 22, 2015 - March 8, 2019

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

MOBILE, AL

Past

July 22, 2015 - March 8, 2019

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

MOBILE, AL

Past

December 5, 2012 - July 7, 2015

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

BIRMINGHAM, AL

Past

April 27, 2012 - July 7, 2015

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BIRMINGHAM, AL

Past

June 9, 2011 - April 19, 2012

SCOTTRADE, INC.

CRD#: 8206

LAKE MARY, FL

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(8/10/2022)

IAR

Alabama
(8/10/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/24/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/30/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/8/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/14/2019

General Securities Principal Examination

Principal/Supervisory Exam

Series 9

Date: 7/31/2013

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Brett A. Grider

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Alan Grider's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

HANCOCK WHITNEY INVESTMENT SERVICES INC.

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

SCOTTRADE, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/24/2012

Series 63

Date: 6/30/2011

SIE

Date: 10/1/2018

Series 7

Date: 6/8/2011

Series 24

Date: 6/14/2019

Series 9

Date: 7/31/2013

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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