HB
Holly C. Brauer
Some features on this profile are disabled
CRD#: 6435193
HB
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Holly Crystal Brauer, who also goes by Holly Crystal Brauer, Holly Crystal Moody, was a registered financial professional .
Holly is a previously registered financial professional and started their career in finance in 2015. Holly had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Holly Crystal Brauer | Holly Crystal Moody
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) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE INSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS LIFE AND LONG-TERM CARE 2) CURVENCOMBATBOOTS, NOT INVESTMENT RELATED, 2511A S MILITARY HWY, CHESAPEAKE, VA, 23320, MILITARY FITNESS APPAREL, STARTED 08/2018, POSITION/TITLE/RELATIONSHIP: INFLUENCER, APX 1 HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: PROMOTES SALES OF MILITARY FITNESS APPAREL 3) BUSINESS NETWORKING INTERNATIONAL, NOT INVESTMENT RELATED, 10601 N %6TH ST, SCOTTSDALE, AZ, 95254, NETWORKING, STARTED 01/2017, POSITION/TITLE/RELATIONSHIP: MENTOR COORDINATOR, APX 2 HOURS PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: EDUCATE NEW MEMBERS AND MENTOR THEM 4) K2 ADVENTURES FOUNDATION, NOT INVESTMENT RELATED, 20645 N PIMA RD, SUITE 100, SCOTTSDALE, AZ, 85255, NON-PROFIT, STARTED 03/2014, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX 1 HOUR PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: COORDINATE FUNDRAISING EVENTS AND CLIMBS. 5) HABITUDE WARRIOR CONFERENCE, NOT INVESTMENT RELATED, 4900 N 44TH ST, PHOENIX, AZ, 85018, MOTIVATIONAL SEMINARS, STARTED 303/2018, POSITION/TITLE/RELATIONSHIP: CO-EMCEE AND WOMEN'S PANEL SPEAKER, APX 1 HOUR PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ASSIST WITH ORGANIZING AND COORDINATING THE EVENT 6) AIR NATIONAL GUARD, NOT INVESTMENT RELATED, 3200 E OLD TOWN RD, PHOENIX, AZ, 85034, MILITARY DRILL WEEKEND, STARTED 11/2017, POSITION/TITLE/RELATIONSHIP: PUBLIC AFFAIRS OFFICER, APX 6 HOURS PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: IN CHARGE OF BROADCAST AND JOURNALISM TEAMS, WORK WITH NEWS MEDIA OUTLETS 7) HOMEOWNERS MAGAZINE, NOT INVESTMENT RELATED, 2864 E CATHY DR, GILBERT, AZ, 85296, ONLINE MAGAZINE, STARTED 11/2017, POSITION/TITLE/RELATIONSHIP: WRITER, APX 1 HOUR PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: WRITE/PUBLISH ARTICLES. 8) NAME OF OTHER BUSINESS: BULLETPROOF BUNNY; INVESTMENT RELATED: NO; ADDRESS: 5620 E EVANS DR SCOTTSDALE AZ 85254; NATURE OF BUSINESS: E-COMMERCE; START DATE: 3/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: DESIGN, COORDINATE MANUFACTURING AND LOGISTICS FOR PRODUCTS; 9) NAME OF OTHER BUSINESS: WILDE WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 05/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
March 21, 2024 - July 11, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SCOTTSDALE, AZ
Past
February 12, 2020 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
SCOTTSDALE, AZ
Past
February 12, 2020 - July 11, 2024
CETERA ADVISORS LLC
BD
CRD#: 10299
SCOTTSDALE, AZ
Past
April 2, 2015 - February 13, 2020
EDWARD JONES
RIA
CRD#: 250
SCOTTSDALE, AZ
Past
February 25, 2015 - February 13, 2020
EDWARD JONES
BD
CRD#: 250
SCOTTSDALE, AZ
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
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
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.
