SD
Stephen W. Defilippis
CETERA INVESTMENT ADVISERS LLC
WHEATON, IL 60189-5896
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CRD#: 1689530
SD
Professional summary
Stephen Wayne Defilippis is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wheaton, Illinois and CETERA FINANCIAL SPECIALISTS LLC located in Wheaton, Illinois.
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 2 firms and has passed the Series 65, Series 63, SIE 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) GUARDIAN INSURANCE, NOT INV RELATED; WHEATON, IL; DISABILITY INSURANCE SALES; SINCE 05/15/2013; 1 HR/MONTH, 1 HR/MONTH DURING SECURITES TRADING HOURS: 2) NAME OF OTHER BUSINESS: PARK EAST II OFFICE MASTER ASSOCIATION INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: OFFICE ASSOCIATION START DATE: 11/2015 POSITION/TITLE/RELATIONSHIP: PRESIDENT/TREASURER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: ATTEND QUARTERLY MEETINGS 3) NAME OF OTHER BUSINESS: 1751 PARK EAST OFFICE CONDOMINIUM ASSOCIATION INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: OFFICE ASSOCIATION START DATE: 12/2014 POSITION/TITLE/RELATIONSHIP: TREASURER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: ATTEND QUARTERLY MEETINGS 4) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/2021 ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS HEALTH INSURANCE ; 5) NAME OF OTHER BUSINESS: DEFILIPPIS FINANCIAL GROUP LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1/2022, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES AND ACCOUNTING/TAX SERVICES; 6) NAME OF OTHER BUSINESS: DEFILIPPIS FINANCIAL GROUP LLC 401(K); INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: RETIREMENT PLAN, START DATE: 1/2022, POSITION/TITLE/RELATIONSHIP: PLAN ADMINISTRATOR AND TRUSTEE; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: ADMINISTER COMPANIES 401(K) PLAN; 7) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 10/2024, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: RECEIVING RESIDUALS ONLY FOR LIFE INSURANCE.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Wayne Defilippis'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
February 16, 1998 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1751 S Naperville Road Suite 102, Wheaton, IL 60189-5896Office #2: 323 Sunny Isles Blvd 7th Fl, Sunny Isles Beach, FL 33160RIA
CRD#: 105644
WHEATON, IL
Current
June 24, 1987 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 1751 S. Naperville Road Suite 102, Wheaton, IL 60189-5896Office #2: 323 Sunny Isles Blvd 7th Fl, Sunny Isles Beach, FL 33160BD
CRD#: 10358
WHEATON, IL
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(11/3/2004)
RR
California(7/31/1992)
RR
Colorado(1/1/1999)
RR
Connecticut(1/2/2024)
RR
Florida(11/3/1998)
IAR
Florida(3/2/2023)
RR
Georgia(1/17/2014)
RR
Illinois(6/24/1987)
IAR
Illinois(2/16/1998)
RR
Indiana(10/23/1996)
RR
Iowa(8/21/2007)
RR
Michigan(12/3/2020)
RR
Minnesota(7/28/2011)
RR
Missouri(1/21/2003)
RR
Nevada(1/2/2009)
RR
North Carolina(1/5/1999)
RR
Pennsylvania(1/3/2022)
RR
South Carolina(1/2/2019)
RR
Tennessee(11/17/2016)
RR
Texas(8/15/2001)
IAR
Texas(3/7/2012)
RR
Virginia(7/23/2015)
RR
Washington(10/1/2015)
RR
Wisconsin(2/13/1996)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Wheaton, IL 60189-5896TRUST BUT VERIFY
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Contact information
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