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Stephen D. Noblin
CETERA INVESTMENT ADVISERS LLC
SPARTANBURG, SC 29302
Some features on this profile are disabled
CRD#: 1370540
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Professional summary
Stephen Douglas Noblin, CFP®, who also goes by Stephen Noblin, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Spartanburg, South Carolina and CETERA WEALTH SERVICES, LLC located in Spartanburg, South Carolina.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Stephen has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Noblin
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. NAME OF ENTITY: Rock Bottom Distillers, LLC; No; 870 HUMPHRIES ROAD; COWPENS; SC; 29330; micro distillery; manager; 11/1/2012; 40; 0; assist brother in building a micro distillery business, including operational management; 2. NAME OF ENTITY: STEVEN SCOTT, LLC; No; 201 SHA LANE; SPARTANBURG; SC; 29307; RENTAL PROPERTY; MEMBER/CO-OWNER; 1/1/2016; 2; 0; COLLECT RENT/BOOKKEEPING; 3. NAME OF OTHER BUSINESS: 337 ENTERPRISES, LLC; INVESTMENT RELATED: NO; ADDRESS: 337 E SAINT JOHN ST, SPARTANBURG, SC 29302; NATURE OF BUSINESS: COMMERCIAL REAL ESTATE; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: LLC MEMBER; 4. NAME OF ENTITY:THE NOBLIN COMPANY; Yes; 337B E ST JOHN ST; SPARTANBURG; SC; 29302; FINANCIAL SERVICES/DBA; OWNER; 1/1/2014; 160; 160; SALE OF INSURANCE & INVESTMENT PRODUCTS; 5. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 2/2023; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, FIXED ANNUITIES, & LONG TERM CARE; 4. NAME OF OTHER BUSINESS: THE NOBLIN COMPANY, INC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/2026, POSITION/TITLE/RELATIONSHIP: OWNER/SECRETARY, 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 Stephen Douglas Noblin'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®
CFP®
Start date: 2005
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 337b East Saint John St, Spartanburg, SC 29302RIA
CRD#: 105644
SPARTANBURG, SC
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 337b East Saint John St, Spartanburg, SC 29302BD
CRD#: 13572
Spartanburg, SC
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
July 2, 1999 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
SPARTANBURG, SC
Past
January 3, 1990 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
SPARTANBURG, SC
Past
February 11, 1987 - December 31, 1989
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
February 11, 1987 - January 10, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
May 20, 1985 - January 28, 1987
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
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
Connecticut(7/28/2021)
RR
Florida(6/10/2021)
RR
Georgia(6/9/2021)
RR
Maryland(6/9/2021)
RR
Missouri(6/9/2021)
RR
New Jersey(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Ohio(6/9/2021)
RR
Oklahoma(6/9/2021)
RR
South Carolina(6/9/2021)
IAR
South Carolina(6/29/2023)
RR
Tennessee(5/28/2024)
RR
Virginia(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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
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.
