Ryan L. Brott

ELLERBROCK-NORRIS WEALTH STRATEGIES

Omaha, NE 68116

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CRD#: 5886965

Professional summary

Ryan Lee Brott, who also goes by Ryan Brott, is a registered financial advisor currently at ELLERBROCK-NORRIS WEALTH STRATEGIES LLC located in Omaha, Nebraska.

Ryan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Ryan has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ryan Brott

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 Ryan Lee Brott'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®

None

Experience

Current

May 22, 2018 - Present

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

Office #1: 4331 North 156th Street, Omaha, NE 68116

RIA

CRD#: 295099

Omaha, NE

Past

April 24, 2014 - December 22, 2017

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

OMAHA, NE

Past

April 23, 2014 - December 22, 2017

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

April 17, 2014 - December 22, 2017

TD AMERITRADE, INC.

RIA

CRD#: 7870

OMAHA, NE

Past

May 8, 2012 - May 29, 2012

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

LINCOLN, NE

Past

May 7, 2012 - May 29, 2012

SECURITIES AMERICA, INC.

CRD#: 10205

LINCOLN, NE

Past

April 14, 2011 - April 20, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

KANSAS CITY, MO

Past

March 18, 2011 - April 20, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

KANSAS CITY, MO

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".

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

ELLERBROCK-NORRIS WEALTH MANAGEMENT | ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

CRD#: 295099 / SEC#: 801-132779

RIA

Registered Investment Advisory firm - (5/15/2025 Approved)

Nebraska

Registered Investment Advisory firm - (6/5/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/5/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Nebraska
(5/22/2018)

IAR

Texas
(1/20/2021)

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: 4/8/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/22/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/2011

General Securities Representative Examination

Current Firm

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

ELLERBROCK-NORRIS WEALTH MANAGEMENT | ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

CRD#: 295099 / SEC#: 801-132779

RIA

Registered Investment Advisory firm - (5/15/2025 Approved)

Nebraska

Registered Investment Advisory firm - (6/5/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/5/2025 Terminated)

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Contact information

Main Address

4331 North 156th Street, Omaha, NE 68116

Mailing Address

Phone number

(402) 884-1320

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2026-02-17 ELLERBROCK-NORRIS WEALTH STRATEGIES FORM ADV PART 2A (2/17/2026)

Regulatory assets under management

Total Number of Accounts	342
AUM (Assets Under Management)	$ 171,618,658

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

Ryan L. Brott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Lee Brott's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/8/2011

SIE

Date: 12/22/2017

Series 7

Date: 3/17/2011

Current Firm

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

TRUST BUT VERIFY

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