BS
BS

Brian Soczka

15 Years of Experience
Naperville, IL
Broker

Brian Soczka is a registered investment advisor at Raymond James & Associates, INC., based in Naperville, IL, with 15 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B

Fee Structure

Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location

263 Shuman Blvd, Ste 275, Naperville, IL, 60563-7700

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Raymond James & Associates, INC.
February 2025 - Present · 1 yr 5 mos
Raymond James & Associates, INC.Broker
February 2025 - Present · 1 yr 5 mos
Previous Registrations
Wells Fargo Advisors
August 2013 - February 2025 · 11 yrs 6 mos
Wells Fargo Clearing Services, LLCBroker
August 2013 - February 2025 · 11 yrs 6 mos
Metlife Securities INC.
May 2011 - August 2013 · 2 yrs 3 mos
Metlife Securities INC.Broker
January 2011 - August 2013 · 2 yrs 7 mos
State Registrations9 states
CAILMIMNNVSCTNTXWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.