Steven B. Sarosy

CETERA INVESTMENT ADVISERS LLC

Dallas, TX 75038

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CRD#: 2212963

Professional summary

Steven Bertrand Sarosy, who also goes by Steven Bertrand Sarosy, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas and CETERA INVESTMENT SERVICES LLC located in Dallas, Texas.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Steven has worked at 14 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 53, Series 4, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven Bertrand Sarosy

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) City of Irving Recreation specialist~'NIR'~825 W. Irving Blvd~Irving~TX~75060~Other~Employee~10/18/2011~80hrs~0hrs~Improving the quality of life through various recreational activities and programs sponsored by the city of Irving. 2) Future Leaders of Irving~'NIR'~909 N oconner rd~Irving~TX~75061~Other~Other~4/5/2011~5hrs~2hrs~Serve on the board, advising on educational curriculum and activities 3) City of Irving Recreation specialist; Employee; Plan and implement teen activities at a recreation center; NIR; 0; 10/18/2011; 825 W. Irving Blvd Irving TX 75060; Improving the quality of life through various recreational activities and programs sponsored by the city of Irving.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Bertrand Sarosy'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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3200 Olympus Blvd Suite 100, Dallas, TX 75038

RIA

CRD#: 105644

Dallas, TX

Current

August 20, 2024 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019Office #2: 18980 Fm 709n, Dawson, TX 76639Office #3: 1356 Laramie Pl, Lewisville, TX 75077

CRD#: 15340

DALLAS, TX

Current

August 20, 2024 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 13572

DALLAS, TX

Current

August 20, 2024 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 10358

DALLAS, TX

Current

August 20, 2024 - Present

CETERA ADVISORS LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 10299

DALLAS, TX

Past

April 4, 2007 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Dallas, TX

Past

August 15, 2005 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Lewisville, TX

Past

December 15, 2003 - August 1, 2005

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

DALLAS, TX

Past

December 15, 2003 - August 1, 2005

HILLTOP SECURITIES INC.

CRD#: 6220

DALLAS, TX

Past

October 21, 2002 - December 18, 2003

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

DALLAS, TX

Past

October 21, 2002 - December 18, 2003

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

February 15, 2002 - September 4, 2002

E*TRADE ADVISORY SERVICES, INC.

RIA

CRD#: 111178

HURST , TX

Past

September 10, 2001 - September 4, 2002

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Past

August 9, 1994 - May 16, 2001

BROWNCO, LLC

CRD#: 1326

BOSTON, MA

Past

December 19, 1992 - April 8, 1994

ALL-TECH DIRECT, INC.

CRD#: 13992

MONTVALE, NJ

Past

March 11, 1992 - September 1, 1992

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, 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".

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

Texas
(9/5/2025)

IAR

Texas
(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: 2/14/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/19/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 8/20/2024

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/18/2005

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/9/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 6/15/2005

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/3/2004

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/11/2002

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 9/12/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

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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Advisor Monitoring

Firm Stability Insights

Steven B. Sarosy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Bertrand Sarosy's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

E*TRADE ADVISORY SERVICES, INC.

E*TRADE SECURITIES LLC

BROWNCO, LLC

ALL-TECH DIRECT, INC.

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/14/2002

Series 63

Date: 3/19/1992

Series 52TO

Date: 8/20/2024

SIE

Date: 10/1/2018

Series 3

Date: 1/18/2005

Series 7

Date: 3/9/1992

Series 53

Date: 6/15/2005

Series 4

Date: 8/3/2004

Series 24

Date: 6/11/2002

Series 8

Date: 9/12/1997

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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