SB
Stephen C. Brown
CETERA INVESTMENT ADVISERS LLC
KIRKLAND, WA 98034
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CRD#: 2625260
SB
Professional summary
Stephen Clark Brown is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Kirkland, Washington and CETERA ADVISORS LLC located in Kirkland, Washington.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Stephen has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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) GREEN FINANCIAL GROUP, SECURITIES AND FIXED INSURANCE SALES, SAME AS OFFICE ADDRESS. 2) NAME OF OTHER BUSINESS: CONCERNED NEIGHBORS OF WELLINGTON; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: NON PROFIT; START DATE: 6/2020; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: RECEIVE DEPOSIT, MAINTAIN BANK ACCT, MAKE PAYMENTS, KEEP BOOKS, PRESENT ANNUAL REPORT TO BOARD; 3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 10/2024, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY AND FIXED ANNUITIES ; 4) NAME OF OTHER BUSINESS: HEFFERMAN INSURANCE BROKERS , INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: INSURANCE SALES, START DATE: 10/2024, POSITION/TITLE/RELATIONSHIP: AGENT/SVP, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: SALES OF GROUP BENEFITS, INDIVIDUAL HEALTH AND MEDICARE PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Clark Brown'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 11930 Slater Ave Ne Ste 100, Kirkland, WA 98034RIA
CRD#: 105644
KIRKLAND, WA
Current
February 28, 2012 - Present
CETERA ADVISORS LLC
Office #1: 11930 Slater Ave Ne Ste 100, Kirkland, WA 98034BD
CRD#: 10299
Kirkland, WA
Past
February 28, 2012 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
July 5, 2000 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
RIA
CRD#: 108728
KIRKLAND, WA
Past
June 29, 2000 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
KIRKLAND, WA
Past
June 19, 1995 - July 26, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
June 19, 1995 - July 26, 2000
OSAIC FA, INC.
BD
CRD#: 3978
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".
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
California(1/25/2019)
RR
Oregon(2/28/2012)
RR
Washington(2/28/2012)
IAR
Washington(3/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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.
