Steven M. Walker

CETERA INVESTMENT ADVISERS LLC

LOUISVILLE, TN

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CRD#: 2581063

Professional summary

Steven Merrill Walker, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Louisville, Tennessee and CETERA ADVISORS LLC located in Louisville, Tennessee.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Steven has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 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.

1. NAME OF OTHER BUSINESS: DBA GRANITE CAPITAL WEALTH ADVISORS, INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SAME AS REGISTERED LOCATION; START DATE: 2008; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 20 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS. 2. NAME OF OTHER BUSINESS: LYFT, INC.; INVESTMENT RELATED: NO; ADDRESS: 185 BERRY STREET, STE 5000 SAN FRANCISCO, CA 94107; NATURE OF BUSINESS: RIDESHARE SERVICE; START DATE: 3/2023; POSITION/TITLE/RELATIONSHIP: DRIVER; APX NUMBER OF HOURS PER WEEK: 15; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: RIDESHARE SERVICE DRIVER;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Merrill Walker's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

LOUISVILLE, TN

Current

October 3, 2016 - Present

CETERA ADVISORS LLC

CRD#: 10299

Louisville, TN

Past

October 3, 2016 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

March 4, 2005 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

MARYVILLE, TN

Past

January 3, 2005 - October 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

MARYVILLE, TN

Past

January 2, 2003 - December 31, 2004

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

MARYVILLE, TN

Past

January 2, 2003 - December 31, 2004

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

March 31, 1998 - December 5, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

MANCHESTER, NH

Past

June 9, 1997 - December 5, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 24, 1996 - April 29, 1997

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

March 2, 1995 - October 16, 1996

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Florida
(10/3/2016)

New Hampshire
(10/3/2016)

Tennessee
(10/3/2016)

IAR

Tennessee
(3/21/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/10/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/9/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/20/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/1/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/7/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Steven M. Walker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Merrill Walker's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

GRUNTAL & CO., L.L.C.

OSAIC FS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/10/1997

Series 63

Date: 3/9/1995

SIE

Date: 10/1/2018

Series 31

Date: 6/20/1997

Series 7

Date: 3/1/1995

Series 24

Date: 1/7/2003

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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