Steven A. Lillard
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.
Steven Alan Lillard was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1985. Steven had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2021 - December 31, 2022
CETERA WEALTH SERVICES, LLC
June 9, 2021 - December 31, 2022
CETERA WEALTH SERVICES, LLC
June 8, 2006 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
June 7, 2006 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
March 28, 2003 - June 5, 2006
CETERA WEALTH SERVICES, LLC
March 26, 2003 - June 5, 2006
CETERA WEALTH SERVICES, LLC
September 6, 2002 - March 27, 2003
LOCUST STREET SECURITIES, INC.
May 30, 1995 - March 27, 2003
LOCUST STREET SECURITIES, INC.
January 3, 1994 - May 18, 1995
CETERA WEALTH SERVICES, LLC
May 18, 1992 - December 31, 1993
WALL STREET ACCESS
March 18, 1991 - May 18, 1992
UNITED PACIFIC FINANCIAL SERVICES, INC.
March 14, 1988 - March 22, 1991
MARKETING ONE SECURITIES, INC.
February 4, 1987 - March 16, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 24, 1985 - February 13, 1987
DAIN RAUSCHER INCORPORATED
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
Series 8
Date: 2/11/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
