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Brett A. Dusch
HBKS WEALTH ADVISORS
Warrendale, PA 15086
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CRD#: 6663185
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Professional summary
Brett Adam Dusch is a registered financial advisor currently at HBKS WEALTH ADVISORS located in Warrendale, Pennsylvania and PURSHE KAPLAN STERLING INVESTMENTS located in Warrendale, Pennsylvania.
Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Brett has worked at 5 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.
1) HBKS Wealth Advisors; Investment Related; 200 Pinewood Lane, Suite 204, Pittsburgh, PA 15086; Financial Advisor; 08/2021; 160 hrs/mo; 160 hrs during trading; conducting duties as a financial advisor 2) Purshe Kaplan Sterling; Investment Related; 80 State Street, Albany, NY 12207; Registered Rep; 09/2021; 160 hrs/mo; 160 hrs during trading; conducting duties as a registered rep 3) HBK Sorce Insurance LLC; Investment Related; 200 Pinewood Lane, Suite 204, Pittsburgh, PA 15086; Insurance Agent; 03/2022; 5 hrs/mo; 5 hrs during trading; insurance sales
CRS (Client Relationship Summary) - RIA
Click below to view Brett Adam Dusch'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
August 18, 2021 - Present
HBKS WEALTH ADVISORS
Office #1: 200 Pinewood Lane Suite 204, Warrendale, PA 15086RIA
CRD#: 112139
Warrendale, PA
Current
September 2, 2021 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 200 Pinewood Lane Suite 204, Warrendale, PA 15086BD
CRD#: 35747
Warrendale, PA
Past
September 21, 2016 - August 20, 2021
MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC
RIA
CRD#: 109355
Boston, MA
Past
September 16, 2016 - August 20, 2021
FEDERATED SECURITIES CORP.
RIA
CRD#: 5009
PITTSBURGH, PA
Past
September 16, 2016 - August 20, 2021
FEDERATED INVESTMENT COUNSELING
RIA
CRD#: 105325
Pittsburgh, PA
Past
July 21, 2016 - August 20, 2021
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
PITTSBURGH, PA
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".
HW
HBKS WEALTH ADVISORS
HBK ADVISORY SERVICES LLC | PRESQUE ISLE CAPITAL MANAGEMENT | LEVEL 3 | HBKS WEALTH ADVISORS | HBK SORCE FINANCIAL LLC | HBK SORCE ADVISORY LLC
CRD#: 112139 / SEC#: 801-60424
RIA
Registered Investment Advisory firm - (7/19/2001 Approved)Ohio
Registered Investment Advisory firm - (11/28/2000 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/29/2001 Terminated)Wyoming
Registered Investment Advisory firm - (11/9/2017 Terminated)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
Colorado(8/22/2023)
RR
Ohio(4/30/2024)
IAR
Pennsylvania(8/18/2021)
RR
Pennsylvania(9/2/2021)
RR
Virginia(9/13/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HW
HBKS WEALTH ADVISORS
HBK ADVISORY SERVICES LLC | PRESQUE ISLE CAPITAL MANAGEMENT | LEVEL 3 | HBKS WEALTH ADVISORS | HBK SORCE FINANCIAL LLC | HBK SORCE ADVISORY LLC
CRD#: 112139 / SEC#: 801-60424
RIA
Registered Investment Advisory firm - (7/19/2001 Approved)Ohio
Registered Investment Advisory firm - (11/28/2000 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/29/2001 Terminated)Wyoming
Registered Investment Advisory firm - (11/9/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2725 Colonial Ave, Erie, PA 16506
Mailing Address
Phone number
(814) 836-5776
Established
Firm type
Fiscal year end
# of Employees
109
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,190 |
| AUM (Assets Under Management) | $ 7,661,939,874 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 07/28/2023 |
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.
