Carol A. Steele

CETERA INVESTMENT ADVISERS LLC

Orland Park, IL 60462

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CRD#: 1941642

Professional summary

Carol Ann Steele, who also goes by Carol Smietana, Carol A Steele, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Orland Park, Illinois and CETERA INVESTMENT SERVICES LLC located in Orland Park, Illinois.

Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Carol has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carol Smietana | Carol A Steele

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.

FIRST VP AT MARQUETTE BANK; OVERSEE RETAIL BANKING AND WEALTH MANAGEMENT PROGRAM

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Ann Steele'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

January 8, 2018 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 9533 West 143rd St, Orland Park, IL 60462

RIA

CRD#: 105644

Orland Park, IL

Current

January 8, 2018 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 9533 W 143rd St, Orland Park, IL 60462

CRD#: 15340

Orland Park, IL

Past

November 20, 2006 - January 8, 2018

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

CHICAGO, IL

Past

March 31, 2003 - January 8, 2018

INVEST FINANCIAL CORPORATION

CRD#: 12984

CHICAGO, IL

Past

April 8, 1999 - April 9, 2003

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

January 4, 1999 - March 22, 1999

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

September 3, 1993 - December 31, 1998

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

April 24, 1989 - March 15, 1995

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

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

Illinois
(1/8/2018)

IAR

Illinois
(1/8/2018)

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: 11/17/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/14/1991

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: 3/16/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/21/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 2/27/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 10/22/1993

Investment Company Products/Variable Contracts 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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Firm Stability Insights

Carol A. Steele

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Ann Steele's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

ESSEX NATIONAL SECURITIES, LLC

IFMG SECURITIES, INC.

ESSEX NATIONAL SECURITIES, LLC

CAPITAL BROKERAGE CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/17/2006

Series 63

Date: 11/14/1991

SIE

Date: 10/1/2018

Series 7

Date: 3/16/2000

Series 6

Date: 4/21/1989

Series 51

Date: 2/27/2003

Series 26

Date: 10/22/1993

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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