Stephen W. Tyson
Professional summary
Stephen Wayne Tyson, who also goes by Steve Tyson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Boca Raton, Florida and CETERA WEALTH SERVICES, LLC located in West Palm Beach, Florida.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Stephen has worked at 18 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Wayne Tyson's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 25, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 225 Ne Mizner Blvd Ste 5550, Boca Raton, FL 33432April 23, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 225 Ne Mizner Blvd Ste 550, Boca Raton, FL 33432February 24, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
October 2, 2012 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
September 12, 2012 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
July 13, 2011 - August 10, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
July 13, 2011 - August 10, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
November 13, 2009 - November 16, 2009
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - November 16, 2009
PNC WEALTH MANAGEMENT LLC
November 7, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
November 7, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
June 8, 2007 - November 7, 2008
WAMU INVESTMENTS, INC.
June 7, 2007 - November 7, 2008
WAMU INVESTMENTS, INC.
February 25, 2005 - June 19, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 14, 2005 - June 19, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 24, 2004 - January 20, 2005
IFMG SECURITIES, INC.
June 22, 2004 - January 20, 2005
IFMG SECURITIES, INC.
February 12, 2003 - June 9, 2004
CITICORP INVESTMENT SERVICES
May 24, 1999 - June 9, 2004
CITICORP INVESTMENT SERVICES
February 17, 1999 - May 6, 1999
AMERIPRISE ADVISOR SERVICES, INC.
April 1, 1998 - December 11, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 24, 1997 - April 1, 1998
BARNETT INVESTMENTS, INC.
April 17, 1996 - February 11, 1997
CITICORP INVESTMENT SERVICES
May 1, 1995 - March 4, 1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
January 14, 1994 - May 3, 1995
AMERIPRISE ADVISOR SERVICES, INC.
August 13, 1993 - December 22, 1993
PRUDENTIAL EQUITY GROUP, LLC
December 11, 1992 - May 5, 1993
PARAGON CAPITAL MARKETS, INC.
August 17, 1992 - November 19, 1992
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/5/2023)
(1/6/2023)
(9/4/2019)
(4/25/2023)
(1/9/2023)
(1/17/2023)
(1/6/2023)
(1/5/2023)
(8/29/2019)
(1/9/2023)
(1/6/2023)
(1/5/2023)
(2/29/2024)
(1/5/2023)
(1/6/2023)
(1/5/2023)
(10/27/2025)
(1/6/2023)
(6/29/2023)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Boca Raton, FL 33432TRUST BUT VERIFY
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