MS
Marilyn C. Stefans
CETERA INVESTMENT ADVISERS LLC
Jewett, NY 12444
Some features on this profile are disabled
CRD#: 2097642
MS
Professional summary
Marilyn Cannata Stefans, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Jewett, New York and CETERA WEALTH SERVICES, LLC located in Woodbury, New York.
Marilyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Marilyn has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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. TAX PREPARER, PREPARE INCOME TAXES, BEGAN 01/1978, 12HRS/WKDY, 4HRS/WKEND; 2. INDEPENDENT INSURANCE AGENT, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE, FROM BUSINESS ADDRESS, 1 SEC 1 NON SEC HR/WEEK, SINCE 10/2012; 3. NAME OF OTHER BUSINESS: SUMMIT ADVISORS OF LONG ISLAND DBA WEALTH ADVISORY ASSOCIATES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 09/2019; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 25; APX NUMBER OF HOURS DURING TRADING HOURS: 25; BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR ACTIVITIES; 4. NAME OF OTHER BUSINESS: VAHAN KHANZADIAN IRREVOCABLE TRUST, INVESTMENT RELATED: NO, ADDRESS: 147 FINNISH LANE JEWETT NY 12744, NATURE OF BUSINESS: TRUSTEE OF IRREVOCABLE TRUST, START DATE: 1/2016, APX NUMBER OF HOURS PER WEEK: 0, APX NUMBER OF TRADING HOURS PER WEEK: 0, POSITION/TITLE/RELATIONSHIP: TRUSTEE; 5. NAME OF OTHER BUSINESS: STEFAN ASSOCIATES INC, DBA SUMMIT TAX ADVISORS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ACCOUNT AND TAX PREPARATION SERVICES; START DATE: 09/14/2016; POSITION/TITLE/RELATIONSHIP: ENROLLED AGENT; APX NUMBER OF HOURS PER WEEK: 18 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: ACCOUNTING AND TAX PREP SERVICES. 6. NAME OF OTHER BUSINESS: LONG ISLAND BRANCH LLC DBA AFFILIATED WEALTH ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BUSINESS MANAGEMENT; START DATE: 01/2012; POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER; APX NUMBER OF HOURS PER WEEK: 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: FINANCIAL/ADMINISTRATIVE DUTIES AND MARKETING. 7. NAME OF OTHER BUSINESS: STEFANS LAW GROUP PC ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: LAW OFFICE ; START DATE: 08/2019 ; POSITION/TITLE/RELATIONSHIP: NONE ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: REFER SECURITIES CLIENTS IN NEED OF LEGAL ASSISTANCE ; 8. NAME OF OTHER BUSINESS: THE STEFANS GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BUSINESS MARKETING; START DATE: 07/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS:1; BRIEF DESCRIPTION OF DUTIES: DBA FOR BRANDING AND MARKETING;
CRS (Client Relationship Summary) - RIA
Click below to view Marilyn Cannata Stefans'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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 47 Finnish Lane, Jewett, NY 12444Office #2: 137 Woodbury Rd, Woodbury, NY 11797RIA
CRD#: 105644
Jewett, NY
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 137 Woodbury Rd, Woodbury, NY 11797BD
CRD#: 13572
Woodbury, NY
Past
January 28, 2015 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
WOODBURY, NY
Past
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
WOODBURY, NY
Past
January 18, 1995 - January 28, 2003
NATHAN & LEWIS SECURITIES, INC.
RIA
CRD#: 8503
WOODBURY, NY
Past
November 15, 1994 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
September 4, 1991 - November 14, 1994
RELIASTAR FINANCIAL MARKETING CORP.
BD
CRD#: 4234
SEATTLE, WA
Past
October 23, 1990 - September 5, 1991
INVESTORS PLANNING SERVICES, CORP.
BD
CRD#: 5798
EAST NORTHPORT, NY
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
Alabama(9/3/2013)
RR
Arizona(9/3/2013)
RR
California(9/3/2013)
RR
Colorado(9/3/2013)
RR
Connecticut(9/3/2013)
RR
Delaware(9/3/2013)
RR
District of Columbia(5/11/2020)
RR
Florida(9/3/2013)
RR
Georgia(9/3/2013)
RR
Hawaii(9/3/2013)
RR
Kansas(1/29/2025)
RR
Maine(6/20/2025)
RR
Maryland(9/3/2013)
RR
Massachusetts(9/3/2013)
RR
Nevada(9/11/2019)
RR
New Hampshire(9/3/2013)
RR
New Jersey(9/3/2013)
RR
New York(9/3/2013)
IAR
New York(6/29/2023)
RR
North Carolina(9/3/2013)
RR
Ohio(9/3/2013)
RR
Oklahoma(9/3/2013)
RR
Pennsylvania(9/3/2013)
RR
South Carolina(9/3/2013)
RR
Tennessee(2/4/2022)
RR
Texas(9/3/2013)
IAR
Texas(6/29/2023)
RR
Vermont(3/29/2016)
RR
Virginia(9/3/2013)
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
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
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.
