Stephen R. Dascenzo
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 Robert Dascenzo 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 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2018 - February 3, 2020
CETERA INVESTMENT ADVISERS LLC
February 12, 2018 - February 3, 2020
CETERA INVESTMENT SERVICES LLC
March 18, 2005 - January 30, 2018
INVEST FINANCIAL CORPORATION
March 18, 2005 - January 30, 2018
INVEST FINANCIAL CORPORATION
October 20, 2004 - March 7, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - March 7, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 6, 2002 - October 20, 2004
QUICK & REILLY, INC.
January 24, 2001 - October 20, 2004
QUICK & REILLY, INC.
June 4, 1998 - January 10, 2001
ESSEX NATIONAL SECURITIES, LLC
April 9, 1998 - February 25, 1999
TD WEALTH MANAGEMENT SERVICES INC.
September 4, 1997 - March 17, 1998
FISERV INVESTOR SERVICES, INC.
April 11, 1996 - October 1, 1997
CONSECO SECURITIES, INC.
September 8, 1992 - April 17, 1996
FLEET ENTERPRISES, INC.
December 2, 1983 - August 18, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
December 2, 1983 - August 18, 1992
SIGNATOR INVESTORS, 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 | ||
| 11/18/2022 |
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.
