Stephen C. Johnson

CETERA INVESTMENT ADVISERS LLC

CHANDLER, AZ 85249

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CRD#: 1445785

Professional summary

Stephen Craig Johnson is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Chandler, Arizona and CETERA INVESTMENT SERVICES LLC located in Chandler, Arizona.

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 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10, Series 24, Series 8 and Series 4 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. SUCCESSOR TRUSTEE OF PARENTS TRUST, THE BECKMAN REVOCABLE LIVIING TRUST

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Craig Johnson'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

January 12, 2022 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 4900 S Gilbert Ave, Chandler, AZ 85249

RIA

CRD#: 105644

CHANDLER, AZ

Current

January 3, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 4900 S Gilbert Road, Chandler, AZ 85249

CRD#: 15340

CHANDLER, AZ

Past

August 30, 2021 - January 11, 2022

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

GILBERT, AZ

Past

August 16, 2021 - January 11, 2022

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

GILBERT, AZ

Past

May 16, 2013 - August 16, 2021

BBVA SECURITIES INC.

CRD#: 27060

CHANDLER, AZ

Past

October 15, 2010 - August 17, 2021

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

MESA, AZ

Past

August 16, 2010 - October 15, 2010

ST JOHNS WEALTH MANAGEMENT

RIA

CRD#: 105564

MESA, AZ

Past

September 27, 2005 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

MESA, AZ

Past

August 15, 2002 - September 27, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

MESA, AZ

Past

November 1, 1999 - September 27, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

February 1, 1999 - November 9, 1999

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

February 1, 1996 - February 2, 1999

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

May 19, 1993 - February 1, 1996

BANC ONE ARIZONA INVESTMENT SERVICES CORPORATION

CRD#: 17738

Past

October 13, 1987 - May 20, 1993

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

January 21, 1986 - October 27, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

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

Arizona
(1/3/2022)

IAR

Arizona
(1/12/2022)

California
(1/3/2022)

Colorado
(1/3/2022)

Idaho
(1/3/2022)

Nevada
(1/16/2024)

Ohio
(1/17/2024)

Texas
(1/3/2022)

IAR

Texas
(1/11/2023)

Virginia
(1/3/2022)

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: 12/22/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/22/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/3/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/18/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 4/28/1994

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 10/28/1992

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 4

Date: 6/18/1992

Registered Options Principal 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 C. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Craig Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

BBVA SECURITIES INC.

PNC MANAGED ACCOUNT SOLUTIONS, INC.

ST JOHNS WEALTH MANAGEMENT

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

BANC ONE SECURITIES CORPORATION

BANC ONE ARIZONA INVESTMENT SERVICES CORPORATION

AMERIPRISE ADVISOR SERVICES, INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/2009

Series 63

Date: 1/22/1986

SIE

Date: 10/1/2018

Series 3

Date: 3/3/1986

Series 7

Date: 1/18/1986

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 24

Date: 4/28/1994

Series 8

Date: 10/28/1992

Series 4

Date: 6/18/1992

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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