Steven M. Sokoll
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Marshall Sokoll, who also goes by Steven Sokoll, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1992. Steven had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - January 3, 2024
CETERA INVESTMENT ADVISERS LLC
April 4, 2006 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
April 4, 2006 - January 3, 2024
CETERA INVESTMENT SERVICES LLC
May 26, 2005 - April 3, 2006
INTRUST BROKERAGE INC.
January 2, 1998 - April 3, 2006
INTRUST BROKERAGE INC.
August 13, 1996 - December 31, 1997
CETERA INVESTMENT SERVICES LLC
April 13, 1995 - January 30, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 13, 1995 - January 30, 1998
OSAIC FA, INC.
May 31, 1994 - June 8, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 26, 1994 - June 8, 1994
OSAIC FA, INC.
November 3, 1992 - March 22, 1995
IDS LIFE INSURANCE COMPANY
November 3, 1992 - March 22, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
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
Exams
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.
