SE
Stephen G. Ellis
CETERA INVESTMENT ADVISERS LLC
CARY, NC 27511
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CRD#: 2292370
SE
Professional summary
Stephen Gregg Ellis is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cary, North Carolina and CETERA WEALTH SERVICES, LLC located in Cary, North Carolina.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Stephen has worked at 4 firms and has passed the Series 65, Series 63, 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.
1Coastal Federal Credit Union~'NIR'~1000 Saint Albans Drive, Suite 200~Raleigh~NC~27609~Other~Other~9/25/2014~1hrs~0hrs~Serving as a volunteer on the nominating committee. I help with candidate selections and governance of this function. 2.) Ellis Brothers, Inc.~'IR'~547 Keisler Drive, Suite 102~Cary~NC~27518~Insurance Agent~Owner~12/22/2009~8hrs~4hrs~Running illustrations, quotes, and completing applications for insurance products. 3.) FINRA Dispute Resolution Arbitrator~'NIR'~One Liberty Plaza, 165 Broadway, 52nd Floor~New York~NY~10006~Other~Independent Contractor~3/19/2012~3hrs~3hrs~In this capacity, I will serve on an arbitration panel and hear cases. 4.) Mediator~'NIR'~547 Keisler Drive, Suite 102~Cary~NC~27518~Other~Owner~7/31/2012~2hrs~2hrs~In this capacity, I will serve as a mediator and mediate cases filed in Superior Court that are sent to Mediation. 5.)National Futures Association Arbitrator~'NIR'~300 S. Riverside Plaza, Suite 1800~Chicago~IL~60606~Other~Independent Contractor~6/18/2012~1hrs~1hrs~I serve as an Arbitrator on panels that hear cases filed with the National Futures Association. 6.)GREEN LEVEL CROSSING COMMUNTIY ASSOCIATION POSITION: Board Member NATURE: This is the Home Owner's Association where I currently live. The Board will help implement and handle the association's rules and governance. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/09/2022 ADDRESS: 547 Keisler Drive, Suite 102, Cary NC 27518, United States DESCRIPTION: I will be a volunteer board member and serve a two year term. 7) Coastal Federal Credit Union; Volunteer Committee Member; Serving as a volunteer on the nominating committee for the Coastal Federal Credit Union. In this capacity I help nominate board members and help with the governance of this function.; NIR; 0; 09/25/2014; 1000 Saint Albans Drive, Suite 200 Raleigh NC 27609; Serving as a volunteer on the nominating committee. I help with candidate selections and governance of this function. 8)National Futures Association Arbitrator; Contractor; I will serve as an Arbitrator on panels that hear cases filed with the National Futures Association.; NIR; 1; 06/18/2012; 300 S. Riverside Plaza, Suite 1800 Chicago IL 60606; I serve as an Arbitrator on panels that hear cases filed with the National Futures Association.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Gregg Ellis'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 547 Keisler Dr. Ste 102, Cary, NC 27511RIA
CRD#: 105644
CARY, NC
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 547 Keisler Drive Suite 102, Cary, NC 27518Office #2: 2485 Wendell Boulevard, Wendell, NC 27591BD
CRD#: 13572
CARY, NC
Past
December 31, 2001 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
CARY, NC
Past
August 13, 1993 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
CARY, NC
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
Arkansas(9/5/2025)
RR
California(9/15/2025)
RR
Colorado(9/18/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
New Jersey(9/18/2025)
RR
North Carolina(9/5/2025)
IAR
North Carolina(9/5/2025)
RR
Ohio(10/23/2025)
RR
Rhode Island(9/18/2025)
RR
South Carolina(9/18/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law Exam
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
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Cary, NC 27511TRUST BUT VERIFY
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