Brian L. Bozzer

GUARDIAN WEALTH MANAGEMENT

PEORIA, IL 61602

Some features on this profile are disabled

CRD#: 7350666

Professional summary

Brian Lad Bozzer is a registered financial advisor currently at GUARDIAN WEALTH MANAGEMENT INC. located in Peoria, Illinois and PURSHE KAPLAN STERLING INVESTMENTS located in Peoria, Illinois.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Brian has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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) GUARDIAN WEALTH MANAGEMENT INC. Investment Related. Located at 311 Southwest Water Street, Suite # 210, Peoria, IL 61602. Nature - RIA. Position - Retirement Plan Specialist. Start - 08/2022. 170 hours per month, 150 during trading hours. Duties - provide retirement planning to clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Lad Bozzer'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

September 1, 2022 - Present

GUARDIAN WEALTH MANAGEMENT INC.

Office #1: 311 Sw Water Street Suite 210, Peoria, IL 61602

RIA

CRD#: 154159

PEORIA, IL

Current

October 21, 2022 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 311 Sw Water St. Suite 210, Peoria, IL 61602

CRD#: 35747

PEORIA, IL

Past

June 5, 2021 - August 18, 2022

MWA FINANCIAL SERVICES INC.

CRD#: 112630

ROCK ISLAND, IL

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".

GUARDIAN WEALTH MANAGEMENT INC.

GUARDIAN WEALTH MANAGEMENT INC. | GUARDIAN WEALTH MANAGEMENT, INC.

CRD#: 154159 / SEC#: 801-113791

RIA

Registered Investment Advisory firm - (8/6/2018 Approved)

Illinois

Registered Investment Advisory firm - (8/6/2018 Terminated)

Louisiana

Registered Investment Advisory firm - (8/30/2022 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.

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

IAR

Illinois
(9/1/2022)

Illinois
(10/21/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/1/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/4/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/23/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

GUARDIAN WEALTH MANAGEMENT INC.

GUARDIAN WEALTH MANAGEMENT INC. | GUARDIAN WEALTH MANAGEMENT, INC.

CRD#: 154159 / SEC#: 801-113791

RIA

Registered Investment Advisory firm - (8/6/2018 Approved)

Illinois

Registered Investment Advisory firm - (8/6/2018 Terminated)

Louisiana

Registered Investment Advisory firm - (8/30/2022 Terminated)

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

311 Sw Water Street Suite 210, Peoria, IL 61602

Mailing Address

Phone number

(309) 692-1460

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

FORM ADV PART 2A (9/18/2025)

Regulatory assets under management

Total Number of Accounts	388
AUM (Assets Under Management)	$ 249,600,241

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.

Similar Advisors

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

Benjamin Conteh

BARGELD FINANCIAL

IAR

Media, PA

Matthew Hudzina

MORGAN STANLEY

Alpharetta, GA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian L. Bozzer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Lad Bozzer's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUARDIAN WEALTH MANAGEMENT INC.

PURSHE KAPLAN STERLING INVESTMENTS

MWA FINANCIAL SERVICES INC.

Primary Firm SEC Registration

GUARDIAN WEALTH MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/1/2022

Series 7TO

Date: 6/4/2021

SIE

Date: 4/23/2021

FINRA

Current Firm

GUARDIAN WEALTH MANAGEMENT INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUARDIAN WEALTH MANAGEMENT INC.

TRUST BUT VERIFY

Similar Advisors