Stephen W. Gierl

AVANTAX PLANNING PARTNERS

Seven Fields, PA 16046

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CRD#: 1086533

Professional summary

Stephen William Gierl, CFP®, who also goes by Steve Gierl, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Seven Fields, Pennsylvania and CETERA INVESTMENT ADVISERS LLC located in Seven Fields, Pennsylvania.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Stephen has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Gierl

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) February 2005-Present Gierl Augustine & Associates, LLC 344 North Pike Road, Sarver PA 16055 Insurance Sales; Less than one hour per month during trading hours 2) June 2004-Present Augustine, Gierl & Augustine 310 Seven Field Blvd Suite 161, Seven Fields PA 16046 Property Management; 1/3 owner; Less than one hour per month during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen William Gierl'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®

CFP^®

Certified Financial Planner

Start date: 1991

Experience

Current

February 5, 2024 - Present

AVANTAX PLANNING PARTNERS, INC.

Office #1: 310 Seven Fields Blvd Ste 300, Seven Fields, PA 16046

RIA

CRD#: 106237

Seven Fields, PA

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 310 Seven Fields Blvd Pa Suite 161, Seven Fields, PA 16046

RIA

CRD#: 105644

SEVEN FIELDS, PA

Past

December 5, 2024 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Seven Fields, PA

Past

January 2, 2020 - February 1, 2024

STRATOS WEALTH ADVISORS LLC

RIA

CRD#: 283816

SEVEN FIELDS, PA

Past

September 2, 2014 - November 29, 2017

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Sarver, PA

Past

February 22, 2007 - June 19, 2020

GIERL AUGUSTINE INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 143008

SEVEN FIELDS, PA

Past

February 16, 2007 - July 9, 2007

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

SARVER, PA

Past

February 16, 2007 - September 11, 2014

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

SARVER, PA

Past

August 9, 2000 - February 20, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

SARVER, PA

Past

August 4, 1989 - February 20, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SARVER, PA

Past

January 25, 1989 - August 12, 1989

AMOS-LEE SECURITIES, INC.

CRD#: 16093

Past

November 7, 1984 - February 14, 1989

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

January 19, 1983 - November 2, 1984

LEHMAN BROTHERS INC.

CRD#: 7506

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".

CETERA INVESTMENT ADVISERS LLC

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(2/5/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/13/1990

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/18/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/29/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/22/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 3

Date: 10/24/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/15/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 8/3/1993

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/26/1989

General Securities Principal Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Stephen W. Gierl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen William Gierl's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

AVANTAX ADVISORY SERVICES

STRATOS WEALTH ADVISORS LLC

PURSHE KAPLAN STERLING INVESTMENTS

GIERL AUGUSTINE INVESTMENT MANAGEMENT, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

AMOS-LEE SECURITIES, INC.

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/13/1990

Series 63

Date: 1/18/1983

SIE

Date: 11/29/2017

Series 31

Date: 10/22/2004

Series 3

Date: 10/24/1983

Series 7

Date: 1/15/1983

Series 53

Date: 8/3/1993

Series 24

Date: 5/26/1989

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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