Stephen W. Gierl
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen William Gierl, CFP®, who also goes by Steve Gierl, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had 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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1991
Experience
September 5, 2025 - April 7, 2026
CETERA INVESTMENT ADVISERS LLC
December 5, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
February 5, 2024 - April 7, 2026
AVANTAX PLANNING PARTNERS, INC.
January 2, 2020 - February 1, 2024
STRATOS WEALTH ADVISORS LLC
September 2, 2014 - November 29, 2017
PURSHE KAPLAN STERLING INVESTMENTS
February 22, 2007 - June 19, 2020
GIERL AUGUSTINE INVESTMENT MANAGEMENT, INC.
February 16, 2007 - July 9, 2007
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 16, 2007 - September 11, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 9, 2000 - February 20, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 4, 1989 - February 20, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 25, 1989 - August 12, 1989
AMOS-LEE SECURITIES, INC.
November 7, 1984 - February 14, 1989
PRUDENTIAL EQUITY GROUP, LLC
January 19, 1983 - November 2, 1984
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
