Stephen C. Lawler

CETERA INVESTMENT ADVISERS LLC

Naples, FL

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CRD#: 1193477

Professional summary

Stephen Curtis Lawler, who also goes by Stephen Curtis Lawler Jr, Steve Lawler, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Naples, Florida and CETERA ADVISORS LLC located in Naples, Florida.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Stephen has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Curtis Lawler Jr | Steve Lawler

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. LIFE INSURANCE & ANNUITY PRODUCTS VARIABLE AGENT, PART TIME; 2. NAME OF OTHER BUSINESS: STEPHEN LAWLER AND ASSOCIATES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: BUSINESS EXPENSE MANAGEMENT, , START DATE: 04/1984, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 20, MAT BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: PAY BUSINESS EXPENSES; 3. NAME OF OTHER BUSINESS: LAWLER FINANCIAL, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2014, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 20, APX NUMBER OF HOURS DURING TRADING HOURS 20, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Curtis Lawler'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®

None

Experience

Current

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Naples, FL

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

CRD#: 10299

Naples, FL

Past

March 31, 2015 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

PEORIA, IL

Past

March 30, 2015 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

PEORIA, IL

Past

November 16, 1997 - December 31, 2021

LAWLER FINANCIAL ADVISORY CORPORATION

RIA

CRD#: 123186

PEORIA, IL

Past

August 24, 1989 - March 31, 2015

INVESTACORP, INC.

CRD#: 7684

PEORIA, IL

Past

December 23, 1988 - September 13, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

April 12, 1984 - January 11, 1989

FSC SECURITIES CORPORATION

CRD#: 7461

Past

October 10, 1983 - October 15, 1984

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(9/8/2022)

California
(9/8/2022)

Colorado
(9/8/2022)

Florida
(9/8/2022)

IAR

Florida
(3/7/2025)

Illinois
(9/8/2022)

Missouri
(9/8/2022)

Ohio
(1/10/2023)

South Dakota
(1/4/2023)

Tennessee
(9/8/2022)

IAR

Texas
(11/12/2020)

Texas
(9/8/2022)

Washington
(9/8/2022)

Wisconsin
(9/8/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/27/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/21/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/7/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/15/1986

General Securities Principal Examination

SRO Registrations

FINRA

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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Stephen C. Lawler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Curtis Lawler's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

LAWLER FINANCIAL ADVISORY CORPORATION

INVESTACORP, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FSC SECURITIES CORPORATION

WS GRIFFITH SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/27/1984

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1984

Series 22

Date: 12/21/1983

Series 6

Date: 10/7/1983

Series 24

Date: 10/15/1986

FINRA

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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