DS
Donna M. Stefans
CETERA INVESTMENT ADVISERS LLC
WOODBURY, NY 11797
Some features on this profile are disabled
CRD#: 2257494
DS
Professional summary
Donna Marie Stefans, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Woodbury, New York and CETERA WEALTH SERVICES, LLC located in Woodbury, New York.
Donna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Donna has worked at 6 firms and has passed the Series 65, Series 63, Series 72, 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) ATTORNEY - ESTATE PLANNING/TRUSTS, STEFANS LAW GROUP PC, 30 SECURITIES TRADING HRS WKLY, 5 NON SECURITIES TRADING HRS WKLY, START DATE 9/2001; (2) PRESIDENT, STEFANS ASSOCIATES, INC, TAX PREPARER, 20 SECURITIES TRADING HRS WKLY, 15 NON SECURITIES TRADING HRS WKLY, START DATE 9/2001; (3) NON ACTIVE REAL ESTATE BROKER/INDEPENDENT INSURANCE AGENT, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE, FOR 1HR/WK & 1HR EVENING & WKENDS, SINCE 10/2012; (4) WEALTH ADVISORY ASSOCIATES ; INVESTMENT RELATED: YES ; SAME AS REGISTERED LOCATION ; FINANCIAL SERVICES ; START DATE: 09/2019 ; POSITION/TITLE/RELATIONSHIP: OWNER /FINANCIAL ADVISOR ; APX # OF HRS PER WK: 25 ; DURING TRADING HRS: 25 ; BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR ACTIVITIES ; (5) STEFAN ASSOCIATES INC, DBA SUMMIT TAX ADVISORS; INVESTMENT RELATED: NO SAME AS REGISTERED LOCATION; ACCOUNT AND TAX PREPARATION SERVICES; STARTED: 09/14/2016; POSITION/TITLE/RELATIONSHIP: OWNER; HRS PER WK: 10 HOURS; HRS DURING TRADING HRS: VARIES; DUTIES: ACCOUNTING AND TAX PREP SERVICES. (6) LONG ISLAND BRANCH LLC; DBA AFFILIATED WEALTH ADVISORS; INVESTMENT RELATED: YES; SAME AS REGISTERED LOCATION; BUSINESS MANAGEMENT; STARTED: 11/01/2016; POSITION/TITLE/RELATIONSHIP: ADMIN/MARKETING SUPPORT; HRS PER WK: 1 HOUR; HRS DURING TRADING HRS: VARIES; DUTIES: SUPPORT PARTNER IN ADMINISTRATION AND MARKETING. (7) LONG ISLAND ALZHEIMERS ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 425 BROADHOLLOW RD STE 307, MELVILLE, NY11747; NATURE OF BUSINESS: ALZHEINERS RESEARCH AND SUPPORT; START DATE: 08/2017; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; HRS PER WK: 1; HRS DURING TRADING HRS: NONE; DUTIES: NO SPECIFIC DUTIES; (8) NEW YORK STATE BAR ASSOCIATION; INVESTMENT RELATED: NO ; ADDRESS: 1 ELK STREET ALBANY NY 12207; NATURE OF BUSINESS: COORDINATES COMMITTEE ACTIVITIES; START DATE: 06/2018; POSITION/TITLE/RELATIONSHIP: VICE CHAIRWOMAN; HRS PER WK: 1; HRS DURING TRADING HRS: 1; DUTIES: VICE CHAIRWOMAN OF FINANCIAL PLANNING & INVESTMENT COMMITTEE; (9) NOTARY PUBLIC INVESTMENT RELATED: NO; SAME AS REGISTERED LOCATION; NOTARY PUBLIC; STARTED: 2000; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; HRS PER WK: NONE; HRS DURING TRADING HRS: NONE; DUTIES: NOTARY PUBLIC DUTIES AND RESPONSIBILITIES; (10) IRREVOCABLE TRUST; INVESTMENT RELATED: NO; ADDRESS: JEWETT, NY; NATURE OF BUSINESS: IRREVOCABLE TRUST; START DATE: 01/2016; POSITION/TITLE/RELATIONSHIP: TRUSTEE; HRS PER WK: NONE; HRS DURING TRADING HRS: NONE; DUTIES: TRUSTEE RESPONSIBILITIES; 11) ALZHEIMER'S ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 300 BROADHOLLOW RD SUITE LL100, MELVILLE, NY 11747; NATURE OF BUSINESS: NON-PROFIT; START DATE: 5/2023; POSITION/TITLE/RELATIONSHIP: EVENT CHAIR; APX # OF HRS PER WK: 3; APX # OF HRS DURING TRADING HRS: 3; BRIEF DESCRIPTION OF DUTIES: SERVE AS THE VOLUNTEER LEADER FOR PLANNING & EXECUTION OF WALK TO END ALZHEIMER'S; 12) NEW YORK CHAPTER, NATIONAL ACADEMY OF ELDER LAW ATTORNEYS; INVESTMENT RELATED: NO; ADDRESS: 1577 SPRING HILL RD VIENNA, VA 22182; NATURE OF BUSINESS: BOARD; START DATE: 02/2024; BOARD MEMBER; APX # OF HRS PER WK: 2; APX # OF HRS DURING TRADING HRS: 1; BRIEF DESCRIPTION OF DUTIES: MONTHLY MEETINGS, DISCUSS ADVOCACY, LEGAL EDUCATION, EXAMINE POLICY TO ENHANCE LIFE OF ELDERS, SPECIAL NEEDS PERSONS; 13) NAME OF OTHER BUSINESS: ADVISEHER FINANCIAL , INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EDUCATIONAL SEMINARS AND MATERIALS, START DATE: 04/2024, POSITION/TITLE/RELATIONSHIP: OWNER, APX # OF HRS PER WK: 10, APX # OF HRS DUR TRADING HRS: 3, BRIEF DESCRIPTION OF DUTIES: OFFERING FINANCIAL LITERACY AND EDUCATIONAL SERVICES; 14) NAME OF OTHER BUSINESS: THE STEFANS GROUP; INV RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BUSINESS MARKETING; START DATE: 7/2024; POSITION/TITLE/RELATIONSHIP: OWNER, APX # OF HRS PER WK: 30; APX # OF HRS DUR TRAD HRS: 5; DUTIES: DBA FOR MARKETING PURPOSES,
CRS (Client Relationship Summary) - RIA
Click below to view Donna Marie 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: 137 Woodbury Rd, Woodbury, NY 11797RIA
CRD#: 105644
WOODBURY, NY
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 137 Woodbury Rd, Woodbury, NY 11797BD
CRD#: 13572
Woodbury, NY
Past
March 31, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
WOODBURY, NY
Past
August 6, 1996 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
January 17, 1994 - August 7, 1996
OCC DISTRIBUTORS LLC
BD
CRD#: 18541
NEW YORK, NY
Past
August 19, 1992 - September 1, 1993
RELIASTAR FINANCIAL MARKETING CORP.
BD
CRD#: 4234
SEATTLE, WA
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(1/2/2015)
RR
California(9/3/2013)
RR
Connecticut(11/12/2015)
RR
Florida(9/3/2013)
RR
Kentucky(9/29/2023)
RR
Maryland(8/7/2019)
RR
Massachusetts(8/6/2019)
RR
Nevada(8/9/2021)
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
Pennsylvania(7/19/2019)
RR
South Carolina(9/3/2013)
RR
Virginia(8/27/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral 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.
