Stephen Selby
Professional summary
Stephen Selby, who also goes by Stephen Francis Selby, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas and CETERA INVESTMENT SERVICES LLC located in Dallas, Texas.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Stephen has worked at 12 firms and has passed the Series 66, Series 7TO, SIE, Series 7, Series 6, Series 24, Series 4 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Selby's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3200 Olympus Blvd Suite 100, Dallas, TX 75019August 20, 2024 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019August 20, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019August 20, 2024 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019August 20, 2024 - Present
CETERA ADVISORS LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019July 13, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
July 13, 2021 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
February 6, 2020 - October 26, 2020
VOYA FINANCIAL ADVISORS, INC.
January 13, 2020 - October 26, 2020
VOYA FINANCIAL ADVISORS, INC.
September 4, 2002 - March 20, 2008
OSAIC FA, INC.
August 3, 2001 - April 12, 2007
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 3, 2001 - March 20, 2008
OSAIC FA, INC.
June 27, 1997 - July 6, 2001
WS GRIFFITH SECURITIES, INC.
August 18, 1994 - June 27, 1997
HIMCO DISTRIBUTION SERVICES COMPANY
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
(9/5/2025)
(9/5/2025)
(9/5/2025)
(9/5/2025)
Exams
Series 7TO
Date: 1/13/2020
General 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.
