BN
Brad E. Neves
CETERA INVESTMENT ADVISERS LLC
MIDVALE, UT 84047
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CRD#: 5781398
BN
Professional summary
Brad Ernest Neves is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Midvale, Utah and CETERA WEALTH SERVICES, LLC located in Midvale, Utah.
Brad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Brad has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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: NFG BROKERAGE, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 02/2022; POSITION/TITLE/RELATIONSHIP: CFO/PRESIDENT-ANNUITY DIVISION; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: OWNER RESPONSIBILITIES AS WELL AS OVERSEEING ANNUITY SALES AND DISTRIBUTION. 2 NAME OF OTHER BUSINESS: NEVES INSURANCE LLC NOBILITY WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS 10637 S HARVEST POINTE DR; SOUTH JORDAN; UT; 84009; NATURE OF BUSINESS: FINANCIAL SERVICES/DBA; START DATE: 11/1/2008; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: SALE OF FIXED INSURANCE, INVESTMENT AND SECURITIES PRODUCTS. 3 NAME OF OTHER BUSINESS: INDEPENDENT INSURANCE AGENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE SALES; START DATE: 5/22/2012 POSITION/TITLE/RELATIONSHIP: INDEPENDENT INSURANCE AGENT; APX NUMBER OF HOURS PER WEEK: 160 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: SALE OF FIXED INSURANCE PRODUCTS. 4 NAME OF OTHER BUSINESS: NFG ADVISORS, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES/DBA; START DATE: 08/04/2020; POSITION/TITLE/RELATIONSHIP: PRINCIPAL/PARTNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: OSJ MANAGER DELEGATE SUPPORTING OTHER OSJ MANAGERS WITH THE SUPERVISION OF REGISTERED REPRESENTATIVES AND INVESTMENT ADVISOR REPRESENTATIVES, AS WELL AS BEING A FINANCIAL ADVISOR FOR MY BOOK OF CLIENTS; 5. NAME OF OTHER BUSINESS: ALTITUDE INVESTMENT MANAGEMENT, LLC; INVESTMENT RELATED: YES; ADDRESS: 165 S WADSWORTH BLVD #200 LAKEWOOD, CO 80226; NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 3/2022; POSITION/TITLE/RELATIONSHIP: MEMBER/MANAGER; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; BRIEF DESCRIPTION OF DUTIES: SALE OF SECURITIES AND FIXED PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view Brad Ernest Neves'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: 6955 S Union Park Ctr Ste 550, Midvale, UT 84047RIA
CRD#: 105644
MIDVALE, UT
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6955 S Union Park Ctr Ste 550, Midvale, UT 84047BD
CRD#: 13572
Midvale, UT
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MIDVALE, UT
Past
June 27, 2012 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
MIDVALE, UT
Past
June 21, 2012 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
MIDVALE, UT
Past
May 7, 2010 - May 2, 2011
SECURITIES MANAGEMENT & RESEARCH, INC.
BD
CRD#: 759
OGDEN, UT
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
Arizona(6/9/2021)
RR
Utah(6/9/2021)
IAR
Utah(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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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.
