Steven M. Walker
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 Merrill Walker, CFP® was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1995. Steven had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2006
Experience
March 21, 2024 - December 31, 2025
CETERA INVESTMENT ADVISERS LLC
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
October 3, 2016 - December 31, 2025
CETERA ADVISORS LLC
March 4, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
January 3, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
January 2, 2003 - December 31, 2004
COMMONWEALTH FINANCIAL NETWORK
January 2, 2003 - December 31, 2004
COMMONWEALTH FINANCIAL NETWORK
March 31, 1998 - December 5, 2002
MORGAN STANLEY DW INC.
June 9, 1997 - December 5, 2002
MORGAN STANLEY DW INC.
October 24, 1996 - April 29, 1997
GRUNTAL & CO., L.L.C.
March 2, 1995 - October 16, 1996
OSAIC FS, INC.
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 |
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.
