SH
Stephen L. Harris
CETERA INVESTMENT ADVISERS LLC
DALLAS, TX 75251
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CRD#: 238196
SH
Professional summary
Stephen Lind Harris, who also goes by Steve Harris, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas and CETERA WEALTH SERVICES, LLC located in Richardson, Texas.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Stephen has worked at 7 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Harris
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) NAME OF OTHER BUSINESS: STEPHEN L. HARRIS CLU & ASSOCIATES, INVESTMENT RELATED: YES, ADDRESS: 1701 N. COLLINS BLVD. SUITE 215. RICHARDSON, TEXAS 75080, NATURE OF BUSINESS: INSURANCE, POSITION/TITLE/RELATIONSHIP: BROKER, START DATE: 1980, APX NUMBER OF HOURS PER WEEK: 1 HOUR PER WEEK, BRIEF DESCRIPTION OF DUTIES: SALES OF INSURANCE AND EMPLOYEE BENEFIT PLANS AS BROKER; 2) NAME OF OTHER BUSINESS: ARK HOUSE, INVESTMENT RELATED: NO, ADDRESS: PO BOX 833656 RICHARDSON, TX 75083; NATURE OF BUSINESS: NON-PROFIT ORGANIZATION, POSITION/TITLE/RELATIONSHIP: CHAIRMAN, START DATE: 07/2024, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: RAISE FUNDS FOR ARK HOUSE FOUNDATION WHICH PROVIDES LOW COST HOUSING FOR PATIENTS AND THEIR FAMILIES WHILE RECEIVING EXTENDED MEDICAL CARE IN DALLAS; 3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: NO , ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 07/1971, APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF HOURS DURING TRADING HOURS: 10, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT, BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Lind Harris'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 12221 Merit Dr Ste 1760, Dallas, TX 75251Office #2: 1096 Edith Circle, Richardson, TX 75080RIA
CRD#: 105644
DALLAS, TX
Current
January 11, 1995 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 12221 Merit Dr Ste 1760, Dallas, TX 75251BD
CRD#: 13572
RICHARDSON, TX
Past
March 3, 2006 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Richardson, TX
Past
May 13, 1993 - August 26, 1994
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
December 23, 1988 - January 19, 1989
B.C. CHRISTOPHER SECURITIES CO.
BD
CRD#: 60
KANSAS CITY, MO
Past
May 22, 1986 - December 23, 1988
MORISON SECURITIES, INC.
BD
CRD#: 8097
KANSAS CITY, MO
Past
July 12, 1982 - April 7, 1993
THE GREAT-WEST LIFE ASSURANCE COMPANY
BD
CRD#: 5927
ENGLEWOOD, CO
Past
April 17, 1973 - September 25, 1980
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
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
Florida(7/8/2020)
RR
Illinois(1/8/2025)
RR
New York(9/10/2003)
RR
Texas(1/12/1995)
IAR
Texas(6/29/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 4/12/1973
Registered Representative ExaminationSRO 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#: 105644Dallas, TX 75251TRUST BUT VERIFY
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