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Brian Douglas Neuendorf

Cetera Advisors LLC

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About Brian Douglas Neuendorf

Brian Neuendorf is a financial professional with over 7 years of experience in the industry. Brian is currently registered with Cetera Advisors LLC and Cetera Financial Specialists LLC. Brian has a Series 6 license and the Securities Industry Essentials Examination. Brian has a strong background in the financial services industry and is committed to providing his clients with personalized financial advice.

Firm Information

Brian Neuendorf is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Brian Neuendorf’s Registration & Firm History

IA

01/03/2017 - Present

Cetera Advisors LLC (WEST DES MOINES IA)

IA

01/03/2017 - 09/08/2022

FIRST ALLIED SECURITIES, INC. (W Des Moines IA)

IA

01/03/2017 - 12/03/2019

SUMMIT BROKERAGE SERVICES, INC. (W Des Moines IA)

IA

01/03/2017 - 11/02/2017

GIRARD SECURITIES, INC. (W DES MOINES IA)

IA

08/05/2015 - 04/05/2016

CETERA ADVISOR NETWORKS LLC (W DES MOINES IA)

IA

08/05/2015 - 04/05/2016

CETERA ADVISORS LLC (W DES MOINES IA)

IA

08/05/2015 - 04/05/2016

CETERA FINANCIAL SPECIALISTS LLC (W DES MOINES IA)

IA

08/05/2015 - 04/05/2016

GIRARD SECURITIES, INC. (WEST DES MOINES IA)

IA

08/05/2015 - 04/05/2016

INVESTORS CAPITAL CORP. (WEST DES MOINES IA)

IA

08/05/2015 - 04/05/2016

SUMMIT BROKERAGE SERVICES, INC. (West Desmoines IA)

IA

08/05/2015 - 04/05/2016

VSR FINANCIAL SERVICES, INC. (West Des Moines IA)

IA

10/17/2013 - 12/17/2013

METLIFE INVESTORS DISTRIBUTION COMPANY (WEST DES MOINES IA)

IA

10/17/2013 - 12/17/2013

NEW ENGLAND SECURITIES (WEST DES MOINES IA)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/17/2013

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Brian Douglas Neuendorf.
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