Michael J. St. Pierre

CETERA INVESTMENT ADVISERS LLC

Hauppauge, NY 11788

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CRD#: 1760408

Professional summary

Michael Joseph St. Pierre, who also goes by Michael Joseph Stpierre, Mike Stpierre, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hauppauge, New York and CETERA INVESTMENT SERVICES LLC located in Hauppauge, New York.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 16 firms and has passed the Series 65, Series 63, Series 22TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Joseph Stpierre | Mike Stpierre

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) ST PIERRE ASSOCIATES, INC., SALES OF PROPERTY & CASUALITY INSURANCE, MEDICARE SUPPLEMENT INSURANCE, STRAIGHT COMMISSIONS, 5 HRS/WK 2) BOARD MEMBER AT THE ASSOCIATION FOR MENTAL HEALTH AND WELLNESS, 1/HR/WK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph St. Pierre'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

May 21, 2021 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1600 Caleb's Path Extn; Ste # 121, Hauppauge, NY 11788

RIA

CRD#: 105644

Hauppauge, NY

Current

June 24, 2020 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1600 Caleb's Path Extn Ste # 121, Hauppauge, NY 11788

CRD#: 15340

Hauppauge, NY

Past

May 24, 2019 - April 30, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

EAST NORTHPORT, NY

Past

July 8, 2009 - April 30, 2020

LPL FINANCIAL LLC

CRD#: 6413

EAST NORTHPORT, NY

Past

October 26, 2007 - July 7, 2009

QUESTAR CAPITAL CORPORATION

CRD#: 43100

HAUPPAUGE, NY

Past

May 1, 2007 - September 26, 2007

SUMMIT EQUITIES, INC.

CRD#: 11039

PARSIPPANY, NJ

Past

December 1, 2006 - May 30, 2007

QUESTAR CAPITAL CORPORATION

CRD#: 43100

SMITHTOWN, NY

Past

June 5, 2006 - December 1, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

SMITHTOWN, NY

Past

November 21, 2002 - May 2, 2006

WAMU INVESTMENTS, INC.

CRD#: 599

MASSAPEQUA, NY

Past

October 23, 2002 - November 8, 2002

PFIC SECURITIES CORPORATION

CRD#: 34941

FRANKLIN, TN

Past

July 16, 2001 - September 4, 2002

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

April 3, 2000 - July 3, 2001

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

February 15, 1996 - November 3, 1999

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

February 15, 1996 - November 3, 1999

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

September 26, 1995 - November 28, 1995

COLIN WINTHROP & CO., INC.

CRD#: 26012

JERICHO, NY

Past

June 1, 1992 - March 2, 1994

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

September 25, 1990 - June 1, 1992

CITICORP FINANCIAL SERVICES,INC.

CRD#: 14675

Past

January 18, 1989 - October 3, 1990

FINANCIAL HORIZONS SECURITIES CORPORATION

CRD#: 20221

Past

November 25, 1987 - January 9, 1989

INVEST FINANCIAL CORPORATION

CRD#: 12984

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

Florida
(6/25/2020)

New Jersey
(7/14/2020)

New York
(7/10/2020)

IAR

New York
(5/21/2021)

Pennsylvania
(6/25/2020)

Vermont
(7/13/2020)

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 65

Date: 4/22/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/21/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/30/2012

General Securities 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

Michael J. St. Pierre

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph St. Pierre's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

QUESTAR CAPITAL CORPORATION

SUMMIT EQUITIES, INC.

QUESTAR CAPITAL CORPORATION

USALLIANZ SECURITIES, INC.

WAMU INVESTMENTS, INC.

PFIC SECURITIES CORPORATION

HSBC BROKERAGE (USA) INC.

CITICORP INVESTMENT SERVICES

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

COLIN WINTHROP & CO., INC.

CITICORP INVESTMENT SERVICES

CITICORP FINANCIAL SERVICES,INC.

FINANCIAL HORIZONS SECURITIES CORPORATION

INVEST FINANCIAL CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/22/2014

Series 63

Date: 12/21/1987

Series 22TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/21/1987

Series 24

Date: 7/30/2012

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

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