Steven J. Landau

CETERA INVESTMENT ADVISERS LLC

SEATTLE, WA 98107

Some features on this profile are disabled

CRD#: 1796108

Professional summary

Steven Joseph Landau, CFP®, who also goes by Steven Landau, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Seattle, Washington and CETERA WEALTH SERVICES, LLC located in Seattle, Washington.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Steven has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven Landau

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) Esselless, LLC;'NIR'316 NW 45th St. Seattle, WA, 98107, Tax Preparation/Accounting~Owner/Sole Proprietor 7/1/2008 16hrs 0hrs Prepare income taxes 2) Landau Services;'NIR' 2610 NW 56th St Apt 103 Seattle WA,98107,Tax Preparation/Accounting, Owner/Sole Proprietor~7/1/2008~16hrs~0hrs~Tax preparation, Notary Public services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Joseph Landau'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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 5606 14th Ave Nw Ste C, Seattle, WA 98107

RIA

CRD#: 105644

SEATTLE, WA

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 5606 14th Ave Nw Ste C, Seattle, WA 98107

CRD#: 13572

SEATTLE, WA

Past

January 23, 2009 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

SEATTLE, WA

Past

September 27, 2007 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

SEATTLE, WA

Past

June 8, 2000 - November 14, 2001

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864

BRYAN, OH

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

Nebraska
(9/24/2025)

Ohio
(9/19/2025)

Washington
(9/5/2025)

IAR

Washington
(9/5/2025)

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: 1/9/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/26/2007

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: 4/17/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/26/2007

Investment Company Products/Variable Contracts Representative 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

Dale Miller

MORGAN STANLEY

IAR

Moscow, ID

Gregg Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Redmond, WA

Alyssa Jarman

OSAIC WEALTH, INC.

IAR

Bellevue, WA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven J. Landau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Joseph Landau's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/9/2009

Series 63

Date: 9/26/2007

SIE

Date: 10/1/2018

Series 7

Date: 4/17/2009

Series 6

Date: 9/26/2007

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