Stephen M. Madsen
CETERA INVESTMENT ADVISERS LLC
LAKE ELMO, MN 55042
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CRD#: 2118203
Professional summary
Stephen Marlow Madsen, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lake Elmo, Minnesota and CETERA WEALTH SERVICES, LLC located in Oakdale, Minnesota.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Stephen has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Comprehensive Financial Planni...
Investment Planning
Estate Planning
Employee and Employer Plan Ben...
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) FIXED INSURANCE WITH VARIOUS COMPANIES,
INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
FIXED INSURANCE,
START 11/06/2010,
4HRS/WK (TRADING HOURS),
INSURANCE AGENT - SELLS LIFE, HEALTH, ANNUITIES, AND LONG-TERM CARE;
(2) NAME OF OTHER BUSINESS: LAKE ELMO BANK - LAKE ELMO FINANCIAL ;
INVESTMENT RELATED: YES ;
ADDRESS: SAME AS REGISTERED LOCATION ;
NATURE OF BUSINESS: BANK ;
START DATE: 01/1993 ;
POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT ;
APX NUMBER OF HOURS PER WEEK: 40 ;
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ;
BRIEF DESCRIPTION OF DUTIES: VP OF INVESTMENT DEPARTMENT. HELPING CLIENTS ;
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Marlow Madsen'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®
CFP®
Start date: 1995
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: City&county Credit Union 8500 Hudson Blvd N, Lake Elmo, MN 55042Office #2: 11465 39th St N, Lake Elmo, MN 55042RIA
CRD#: 105644
LAKE ELMO, MN
Current
May 3, 2000 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 600 Inland Ave N Suite 100, Oakdale, MN 55128BD
CRD#: 13572
Oakdale, MN
Past
January 8, 2014 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
STILLWATER, MN
Past
May 14, 1993 - May 17, 2000
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
February 1, 1991 - May 18, 1993
JM DISSOLUTION, INC.
BD
CRD#: 6980
ST. PAUL, MN
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(1/3/2001)
RR
California(12/17/2021)
RR
Colorado(5/31/2023)
RR
Florida(5/3/2000)
RR
Louisiana(4/8/2025)
RR
Maryland(7/3/2017)
RR
Michigan(4/11/2006)
RR
Minnesota(5/3/2000)
IAR
Minnesota(6/29/2023)
RR
Missouri(3/11/2024)
RR
Ohio(1/15/2019)
RR
Oregon(1/8/2024)
RR
Wisconsin(5/3/2000)
Exams
State Security Law Exam
General Industry/Product 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#: 105644Lake Elmo, MN 55042TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
