Stephen A. Engle

CETERA INVESTMENT ADVISERS LLC

Sunbury, PA 17801

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CRD#: 1375032

Professional summary

Stephen Allen Engle is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sunbury, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Sunbury, Pennsylvania.

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 10 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 7 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. Name of other business: Fixed Insurance Investment related: Yes Address: Same as registered location Nature of business: Fixed Insurance Start Date: 08/2003 Apx number of hours per week: 25 Apx number of hours during trading hours:3.5 Position/title/relationship: Agent Brief description of duties: Insurance sales and service 2. Name of other business: Community Giving Foundation - Sunbury Investment related: No Address: 725 West Front Street Berwick, PA 18603 Nature of business: Charitable Foundation Start Date: 05/2019 Apx number of hours per week: 0.5 Apx number of hours during trading hours: 0.5 Position/title/relationship: Elected Board Member Brief description of duties: Participate in the discussion and review of opportunities to assist other non-profit organizations with granting of funds

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Allen Engle'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

March 17, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 136 Market St, Sunbury, PA 17801

RIA

CRD#: 105644

Sunbury, PA

Current

March 17, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 136 Market Street, Sunbury, PA 17801

CRD#: 13572

SUNBURY, PA

Past

October 10, 2017 - March 18, 2025

STONEX ADVISORS INC.

RIA

CRD#: 174182

SUNBURY, PA

Past

September 12, 2014 - March 18, 2025

STONEX SECURITIES INC.

CRD#: 18456

SUNBURY, PA

Past

January 3, 2007 - September 12, 2014

WRP INVESTMENTS, INC.

CRD#: 7365

SUNBURY, PA

Past

February 25, 1997 - December 31, 2006

OLDE ECONOMIE FINANCIAL CONSULTANTS, LTD.

CRD#: 21304

BADEN, PA

Past

February 24, 1997 - March 27, 1997

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

February 17, 1994 - November 7, 1996

T.H.E. FINANCIAL GROUP, LTD

CRD#: 14720

MECHANICSBURG, PA

Past

May 2, 1988 - December 5, 1988

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

Past

November 19, 1985 - May 2, 1988

LEGG MASON WARREN YORK, INC.

CRD#: 873

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

Florida
(3/17/2025)

Maryland
(3/17/2025)

Pennsylvania
(3/17/2025)

IAR

Pennsylvania
(3/17/2025)

South Carolina
(3/17/2025)

Virginia
(3/17/2025)

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

IAR

Series 65

Date: 5/23/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/2/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/16/1994

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 6/15/1985

General Securities Representative 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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Advisor Monitoring

Firm Stability Insights

Stephen A. Engle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Allen Engle's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

STONEX ADVISORS INC.

STONEX SECURITIES INC.

WRP INVESTMENTS, INC.

OLDE ECONOMIE FINANCIAL CONSULTANTS, LTD.

VOYA FINANCIAL PARTNERS, LLC

T.H.E. FINANCIAL GROUP, LTD

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WARREN YORK, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/23/2017

Series 63

Date: 2/2/1994

SIE

Date: 10/1/2018

Series 6

Date: 2/16/1994

Series 7

Date: 6/15/1985

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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