BS
Brett S. Sobolik
CETERA INVESTMENT ADVISERS LLC
HALLOCK, MN 56728
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CRD#: 6039837
BS
Professional summary
Brett Steven Sobolik, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hallock, Minnesota and CETERA WEALTH SERVICES, LLC located in Hallock, Minnesota.
Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Brett has worked at 3 firms and has passed the Series 66, SIE and Series 7 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.
(dba) SOBOLIK FINANCIAL GROUP; Investment Related; 215 2nd Street NE, PO Box 327, Hallock MN 56728; Representative/Principal; Start Date 10/2011; 60 hours per month; Sobolik Financial Group is an insurance agency that sells life insurance, disability insurance, business overhead insurance and fixed annuity products. I am the principal of the agency and use two marketing organizations - Producers Financial for life and annuity and Comprehensive Brokerage Services for disability and business overhead products. I sell insurance products for the agency and there is one other insurance agent that works for the agency selling insurance products. The commissions are paid to the agency and the agency pays commissions to the agents. >> HALLOCK MAINSTREET LLC; Investment Related; 425 3rd Street SE, Hallock, MN 56728; Secretary/Treasurer; Start Date 2017; 1 hour per month; The LLC was established to help buy buildings and rehabilitate them. In turn, it is the hope of the LLC to sell them to small business owners to house their business. It is the hope of the owners of the LLC to revitalize the main street of their small rural town. The main purpose of the LLC is to have a legal entity to purchase the buildings during the transition process to new ownership. All three owners must sign checks and neither of the two other owners is a client. >> BRETT SOBOLIK FARMS; Non-Investment Related; Hallock, MN 56728; Farming; Owner/Operator; Start Date 01/2021; 60 hours more/less per month with some hours occurring during trading hours; Planting, raising, harvesting, and selling crops. >> HALLOCK YOUTH HOCKEY; Non-Investment Related; 163 3rd Street, Hallock, MN 56728; Youth Sports; Hockey Coach; Start Date 11/2014; 10 hours more or less per month with no hours per month during trading hours; Volunteer coach for the local youth hockey program. >> GRACE LUTHERAN CHURCH; Non-Investment Related; 321 S Birch, Hallock, MN 56728; Church; Foundation Board Member; Start Date 03/2015; 1 hour more or less per month with no hours per month during trading hours; Foundation Board Members determine which causes and/or charities that monies should be given to. >> DS FARM LLC; Non-Investment Related; 2699 220th Avenue, Hallock, MN 56728; Agriculture; Part Owner/Secretary-Treasurer; Start Date 01/2021; 10 hours per month with 3 of those hours per month occurring during trading hours; Provide share of planting, maintaining and harvesting sugar beet crop. >> DAHL, HATTON, MUIR & REESE LTD; Non-Investment Related; 217 S Birch Street, Hallock, MN 56728; Accounting Firm; Owner/Partner; Start Date 01/2022; 160 hours per month with the majority of those hours occurring during trading hours; Serve as owner/partner of accounting firm with other CPAs. >> SF PROPERTIES LLC; Non-Investment Related; Hallock, MN 56728; Real Estate; Member Manager; Start Date 11/2022; 2 hours per month with no hours per month during trading hours; Purchase real estate to which improvements will be made - rent building space to tenants.
CRS (Client Relationship Summary) - RIA
Click below to view Brett Steven Sobolik'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®
Start date: 2016
Experience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 225 East Broadway, Hallock, MN 56728RIA
CRD#: 105644
HALLOCK, MN
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 225 East Broadway, Hallock, MN 56728BD
CRD#: 13572
Hallock, MN
Past
May 1, 2012 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Hallock, MN
Past
March 27, 2012 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Hallock, MN
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
Minnesota(2/20/2025)
IAR
Minnesota(2/20/2025)
RR
North Dakota(2/20/2025)
Exams
State Security Law 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Hallock, MN 56728TRUST BUT VERIFY
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