Stephen J. Quiner

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CRD#: 1152908

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 John Quiner, who also goes by Stephen J Quiner, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephen J Quiner

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) AGENT; START DATE 02/15/1995; INVESTMENT RELATED; ADDRESS SAME AS BRANCH; 150 HOURS PER MONTH 130 DURING TRADING; LIFE INSURANCE, HEALTH INSURANCE, LONG-TERM CARE INSURANCE, & FIXED ANNUITY INSURANCE COMPANIES (2) Q ENTERPRISES; START DATE 10/01/2015;6832 MORNINGSIDE CIRCLE,JOHNSTON IA 50131;PARTNER;6 HOURS A MONTH 3 DURING TRADING; RESIDENTIAL REAL ESTATE AGENT (3) NAME OF OTHER BUSINESS: COLEMAN/QUINER LTD , INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/1995, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 25, APX NUMBER OF HOURS DURING TRADING HOURS: 25, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 29, 2023 - December 31, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

JOHNSTON, IA

Past

May 20, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

JOHNSTON, IA

Past

September 20, 2019 - December 31, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

JOHNSTON, IA

Past

September 2, 2016 - November 2, 2016

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

JOHNSTON, IA

Past

September 1, 2016 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

JOHNSTON, IA

Past

September 1, 2016 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

JOHNSTON, IA

Past

February 7, 2003 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

JOHNSTON, IA

Past

January 1, 1999 - February 7, 2003

THE MASTERS, INC.

RIA

CRD#: 108432

JOHNSTON, IA

Past

September 2, 1993 - November 2, 2016

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

JOHNSTON, IA

Past

March 23, 1990 - September 9, 1993

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

February 23, 1987 - March 23, 1990

B.C. CHRISTOPHER SECURITIES CO.

CRD#: 60

KANSAS CITY, MO

Past

April 5, 1984 - January 15, 1987

M. WITTENSTEIN & CO.

CRD#: 543

Past

June 19, 1983 - March 12, 1987

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 3/3/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/20/1985

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 5/19/1979

Non-Member General Securities 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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Advisor Monitoring

Firm Stability Insights

Stephen J. Quiner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VSR FINANCIAL SERVICES, INC.

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

THE MASTERS, INC.

VSR FINANCIAL SERVICES, INC.

OPPENHEIMER & CO. INC.

B.C. CHRISTOPHER SECURITIES CO.

M. WITTENSTEIN & CO.

AETNA LIFE INSURANCE AND ANNUITY COMPANY

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/3/1984

SIE

Date: 10/1/2018

Series 7

Date: 4/20/1985

Series 2

Date: 5/19/1979

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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