SC
Steven E. Clem
CETERA INVESTMENT ADVISERS LLC
CHARLESTON, SC 29401
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CRD#: 2161110
SC
Professional summary
Steven Edward Clem is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Charleston, South Carolina and CETERA FINANCIAL SPECIALISTS LLC located in Charleston, South Carolina.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Steven has worked at 4 firms and has passed the Series 66, SIE and Series 7 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) 2-4 GILLON STREET COUNCIL OF CO-OWNERS, NOT INVESTMENT RELATED, MOUNT PLEASANT, SC, SECRETARY, TREASURER, TAKE MINUTES AT BOARD MEETINGS, REVIEW BUDGET PROPOSED BY PROPERTY MANAGER, 2H/WEEK, SINCE 07/2021 2) SCNATP, NOT INVESTMENT RELATED, CHARLESTON, SC, VICE PRESIDENT, COORDINATE CONTINUING EDUCATION OFFERINTGS FOR OUR MEMBERS, SERVE AS PRESIDENT IN THEIR ABSENCE, GENERAL BOARD DUTIES, 2H/WEEK, SINCE 12/2010 3) THE CLEM COLLABORATIVE, LLC, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, FOUNDER/PRESIDENT, ENROLLED AGENT, PREPARE/OVERSEE PREPARATION OF TAX RETURNS FOR INDIVIDUALS AND SMALL BUSINESS CLIENTS, ASSIST WITH CREATION OF TAX PLANNING STRATEGIES, OVERSEE RECONCILIATION OF CLIENT ACCOUNTS, PREPARATION OF FINANCIAL STATEMENTS, 25H/WEEK, SINCE 12/2014 4) RENTAL, INVESTMENT RELATED, CHARLESTON, SC, OWNER, RECEIVE RENTAL INCOME, EVALUATE SERVICES, SELECT VENDORS, MANAGERS, 1H/WEEK, SINCE 09/2015. 5) GILLON STREET HOLDINGS, LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, MEMBER, OWNER, RENTAL OF RESIDENTIAL AND COMMERCIAL PROPERTIES THAT I OWN, 2H/WEEK, 1H/WEEK DURING TRADING HOURS, SINCE 09/2005.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Edward Clem'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®
NoneExperience
Current
December 20, 2022 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2 Gillon St, Charleston, SC 29401RIA
CRD#: 105644
CHARLESTON, SC
Current
December 20, 2022 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2 Gillon St, Charleston, SC 29401BD
CRD#: 10358
Charleston, SC
Past
April 5, 2006 - December 21, 2022
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
CHARLESTON, SC
Past
November 11, 2005 - December 21, 2022
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Charleston, SC
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
District of Columbia(12/20/2022)
RR
Illinois(12/20/2022)
RR
Maine(12/20/2022)
RR
Maryland(6/17/2024)
RR
Massachusetts(6/13/2024)
RR
New Hampshire(2/2/2024)
RR
North Carolina(12/21/2022)
RR
South Carolina(12/20/2022)
IAR
South Carolina(12/20/2022)
RR
Virginia(3/14/2024)
Exams
State Security Law 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
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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.
