SH
Steven C. Henningson
CWM
Irvine, CA 92618
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CRD#: 1279547
SH
Professional summary
Steven Craig Henningson, CIMA® is a registered financial advisor currently at CWM, LLC located in Irvine, California and CETERA INVESTMENT ADVISERS LLC located in Irvine, California.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Steven has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. FIXED INSURANCE WITH VARIOUS COMPANIES,
INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
FIXED INSURANCE,
START 2004,
1-2 HRS/WK (TRADING HOURS),
INSURANCE AGENT - SELLS LIFE, ANNUITIES, AND LONG-TERM CARE;
2. RONALD REAGAN PRESIDENTIAL FOUNDATION & LIBRARY,
NOT INVESTMENT RELATED,
40 PRESIDENTIAL DRIVE, SIMI VALLEY, CA 93065,
NON-PROFIT SUSTAINING REAGAN LIBRARY & MUSEUM,
START 08/10/2011,
<1HR/WK (NON-TRADING HOURS),
INFORM & EDUCATE PEOPLE ABOUT EVENTS & EDUCATIONAL OPPORTUNITIES OF THE LIBRARY & MUSEUM;
3. CONCIERGE WEALTH MANAGEMENT GROUP,
INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
DBA NAME FOR ADVISORY SERVICES, INVESTMENT CONSULTING,
START 10/14/2013,
40HRS/WK (32.5 TRADING HOURS),
PRESIDENT/OWNER;
4. NAME OF OTHER BUSINESS: THE EFFECT RECOVERY MINISTRY;
INVESTMENT RELATED: NO;
ADDRESS: 27122A PAESO ESPADA, SUITE 904, SAN JUAN CAPISTRANO, CA 92675
NATURE OF BUSINESS: COMMUNITY CHURCH WITH RECOVERY MINISTRIES;
START DATE: 12/2014;
POSITION/TITLE/RELATIONSHIP: VOLUNTEER ON THE ADVISORY BOARD;
APX NUMBER OF HOURS PER WEEK: 4;
APX NUMBER OF HOURS DURING TRADING HOURS: NONE;
BRIEF DESCRIPTION OF DUTIES: HELP THE CHURCH WITH MINISTRY OPERATIONS AND PROGRAMS;
5. NAME OF OTHER BUSINESS: CWM, LLC
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: ADVISORY BUSINESS
POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE
START DATE: 7/2018
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: ASSET MANAGEMENT
6. NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON GROUP PARTNERS
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FINANCIAL SERVICES
START DATE: 7/2018
POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view Steven Craig Henningson's 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®
Experience
Current
July 17, 2018 - Present
CWM, LLC
Office #1: 100 Pacifica, Ste. 450, Irvine, CA 92618RIA
CRD#: 155344
Irvine, CA
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 100 Pacifica Ste 400, Irvine, CA 92618RIA
CRD#: 105644
IRVINE, CA
Current
August 12, 2004 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 100 Pacifica Ste 400, Irvine, CA 92618BD
CRD#: 13572
Irvine, CA
Past
February 6, 2020 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
IRVINE, CA
Past
April 29, 2005 - July 23, 2014
SAGEVIEW ADVISORY GROUP, LLC
RIA
CRD#: 126777
IRVINE, CA
Past
August 12, 2004 - December 31, 2018
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
IRVINE, CA
Past
July 31, 1993 - August 24, 2004
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LAGUNA NIGUEL, CA
Past
July 31, 1993 - August 24, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
September 24, 1985 - April 11, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Arizona(8/12/2004)
RR
California(8/12/2004)
IAR
California(7/17/2018)
RR
Colorado(9/13/2017)
RR
Idaho(6/25/2020)
RR
Illinois(8/12/2004)
RR
Michigan(3/24/2005)
RR
Missouri(8/10/2022)
RR
Nevada(1/5/2024)
RR
Oregon(8/12/2004)
RR
Pennsylvania(12/6/2017)
RR
South Carolina(10/14/2015)
IAR
Texas(7/17/2018)
RR
Texas(1/21/2025)
IAR
Texas(1/21/2025)
RR
Virginia(8/28/2017)
RR
Washington(8/12/2004)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/25/1988
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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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)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
