Stephen R. Wierhake
Professional summary
Stephen Robert Wierhake, CFP®, who also goes by Stephen R Wierhake, Stephen Robert Wierhake Jr, Steve Wierhake, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Punta Gorda, Florida and CETERA WEALTH SERVICES, LLC located in Punta Gorda, Florida.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Stephen has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Robert Wierhake's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2006
Experience
April 11, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
August 22, 2019 - Present
CETERA WEALTH SERVICES, LLC
March 17, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
July 30, 2009 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
April 24, 2009 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
October 5, 2001 - April 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2001 - April 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 1997 - October 12, 2001
AMERIPRISE ADVISOR SERVICES, INC.
July 24, 1986 - November 4, 1997
WOODBURY FINANCIAL SERVICES, 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
(9/20/2019)
(9/20/2019)
(4/24/2023)
(8/22/2019)
(4/11/2023)
(9/20/2019)
(1/6/2025)
(10/16/2023)
(9/20/2019)
(9/20/2019)
(9/28/2021)
(9/20/2019)
(9/20/2019)
(5/5/2020)
(9/20/2019)
(7/17/2023)
(1/27/2025)
(9/20/2019)
(4/16/2020)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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
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