Stephen G. Zahorian

CETERA INVESTMENT ADVISERS LLC

FORT MYERS, FL 33901

Some features on this profile are disabled

CRD#: 1628835

Professional summary

Stephen Glen Zahorian JR, who also goes by Steve Zahorian Jr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fort Myers, Florida and CETERA WEALTH SERVICES, LLC located in Fort Myers, Florida.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Stephen has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Zahorian Jr

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: FAMILY TREE FINANCIAL SERVICES, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES DBA; START DATE: 09/2008; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Glen Zahorian JR'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

June 2, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2029 Bayside Parkway, Fort Myers, FL 33901

RIA

CRD#: 105644

FORT MYERS, FL

Current

September 3, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2029 Bayside Parkway, Fort Myers, FL 33901

CRD#: 13572

Fort Myers, FL

Past

March 12, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

FORT MYERS, FL

Past

November 18, 2013 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

FT. MYERS, FL

Past

November 8, 2013 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

FORT MYERS, FL

Past

June 25, 2009 - November 6, 2013

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

FT. MYERS, FL

Past

September 2, 2008 - October 10, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

FORT MYERS, FL

Past

August 19, 2008 - November 6, 2013

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

FORT MYERS, FL

Past

December 14, 2005 - August 21, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

FT. MEYERS, FL

Past

December 9, 2005 - August 21, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

FT. MEYERS, FL

Past

May 1, 2000 - December 14, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

FORT MYERS, FL

Past

May 1, 2000 - December 14, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

FORT MYERS, FL

Past

April 29, 1987 - May 5, 2000

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

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
(2/1/2024)

Connecticut
(5/12/2022)

Florida
(9/18/2019)

IAR

Florida
(6/2/2023)

Georgia
(9/20/2019)

Illinois
(3/11/2020)

Iowa
(1/5/2022)

Kentucky
(9/20/2019)

Maryland
(4/22/2021)

Michigan
(9/20/2019)

New Hampshire
(2/27/2025)

New York
(9/20/2019)

North Carolina
(9/20/2019)

South Carolina
(4/19/2024)

Texas
(9/20/2019)

IAR

Texas
(6/29/2023)

Utah
(1/6/2023)

Virginia
(8/13/2020)

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 66

Date: 12/27/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/27/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/25/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/6/2012

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/23/2012

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Steven Adelson

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Fort Myers, FL

Pamela Mahar

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

IAR

Fort Myers, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen G. Zahorian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Glen Zahorian JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

RAYMOND JAMES & ASSOCIATES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/27/2005

Series 63

Date: 5/27/1987

SIE

Date: 10/1/2018

Series 7

Date: 4/25/1987

Series 10

Date: 11/6/2012

Series 9

Date: 8/23/2012

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

Similar Advisors