ST
Steven L. Tillona
CETERA INVESTMENT ADVISERS LLC
SOUTHINGTON, CT 06489
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CRD#: 1642211
ST
Professional summary
Steven Louis Tillona, who also goes by Steve L Tillona, Steven Tillona, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Southington, Connecticut and CETERA ADVISORS LLC located in Southington, Connecticut.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Steven has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve L Tillona | Steven Tillona
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 WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 8/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE, ANNUITIES, & LONG TERM CARE; 2. NAME OF OTHER BUSINESS: N/A, INVESTMENT RELATED: NO, ADDRESS: 72 QUEEN ST SOUTHINGTON CT 06489, NATURE OF BUSINESS: TAX PREPERATION, START DATE: 1/2000, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF TRADING HOURS PER WEEK: 5, POSITION/TITLE/RELATIONSHIP:100% OWNER, BRIEF DESCRIPTION OF DUTIES: PREPARE TAX RETURNS FOR CLIENTS; 3. NAME OF OTHER BUSINESS: CW RESOURCES INC, INVESTMENT RELATED: NO, ADDRESS: 200 MYRTLE ST NEW BRITAIN CT 06053, NATURE OF BUSINESS: NON-PROFIT SERVING PERSONS WITH DISABILITIES, START DATE: 1994, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF TRADING HOURS PER WEEK: 1, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, BRIEF DESCRIPTION OF DUTIES: ADVISOR FOR THE COMPANY 403B PLAN; 4. NAME OF OTHER BUSINESS: EDU4RETIREMENT, INC, INVESTMENT RELATED: YES, ADDRESS: 72 QUEEEN ST SOUTHINGTON CT 06489, NATURE OF BUSINESS: INVESTMENT ADVISORY & SEMINARS FOR RETIREMENTS, START DATE: 7/2015, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: TEACHING, BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES OFFERED THROUGH CETERA; 5. NAME OF OTHER BUSINESS: CAPITAL COMMUNITY COLLEGE; INVESTMENT RELATED: NO; ADDRESS: 950 MAIN STREET, HARTFORD, CT 06103; NATURE OF BUSINESS: PERSONAL FINANCE COLLEGE COURSE; START DATE: 01/2018; POSITION/TITLE/RELATIONSHIP: ADJUNCT PROFESSOR; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; BRIEF DESCRIPTION OF DUTIES: INSTRUCT AND TEACH A 15 WEEK PERSONAL FINANCE COURSE; 6. NAME OF OTHER BUSINESS: FVGLA; INVESTMENT RELATED: NO; ADDRESS: 6 MONTEITH DR. FARMINGTON, CT 06032; NATURE OF BUSINESS: BOARD; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: UP TO 5; APX NUMBER OF HOURS DURING TRADING HOURS: UP TO 5; BRIEF DESCRIPTION OF DUTIES: OVERSEE ANNUAL BUDGET & ONGOING FINANCIAL OPERATIONS OF THE ORGANIZATION;
CRS (Client Relationship Summary) - RIA
Click below to view Steven Louis Tillona'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®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 72 Queen Street, Southington, CT 06489RIA
CRD#: 105644
SOUTHINGTON, CT
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 72 Queen Street, Southington, CT 06489BD
CRD#: 10299
Southington, CT
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
June 29, 2015 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
SOUTHINGTON, CT
Past
June 29, 2015 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
SOUTHINGTON, CT
Past
October 11, 1994 - July 7, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
FARMINGTON, CT
Past
September 23, 1994 - July 7, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
FARMINGTON, CT
Past
June 7, 1990 - October 3, 1994
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
January 4, 1989 - June 11, 1990
BROAD REACH CAPITAL, INC.
BD
CRD#: 10045
Past
April 29, 1987 - March 5, 1988
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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
Arizona(10/3/2016)
RR
California(1/18/2017)
RR
Connecticut(10/3/2016)
IAR
Connecticut(3/21/2024)
RR
Florida(10/3/2016)
RR
Kansas(9/6/2018)
RR
Massachusetts(10/3/2016)
RR
New Hampshire(10/20/2017)
RR
New Jersey(10/3/2016)
RR
New York(10/3/2016)
RR
Ohio(5/25/2024)
RR
Oregon(10/3/2016)
RR
Pennsylvania(10/3/2016)
RR
Texas(7/18/2018)
IAR
Texas(3/21/2024)
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
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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.
