SP
Stephen R. Philpott
CETERA INVESTMENT ADVISERS LLC
DULUTH, GA 30096
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CRD#: 2634598
SP
Professional summary
Stephen Robert Philpott, who also goes by Steve Philpott, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Duluth, Georgia and CETERA ADVISORS LLC located in Duluth, Georgia.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Stephen has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Philpott
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. DBA: KENWICK ADVISORS LLS, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, FINANCIAL AND INSURANCE SERVICES, START JANUARY 2013, 40 HOURS PER WEEK - DURING TRADING HOURS, OWNER - FINANCIAL ADVISOR. 2. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, START OCTOBER 2014, 20 HRS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE. 3. 1771 ST. ANDREWS COMMON, NOT INVESTMENT RELATED, 4900 RIVERLAKE DRIVE, DULUTH, GA 30097, REAL ESTATE RENTAL, START 2003, 1HOUR PER WEEK - NOT DURING TRADING HOURS, CO-OWN WITH SPOUSE. 4. NAME OF OTHER BUSINESS: STEPHEN PHILPOTT - TIMBERLAND; INVESTMENT RELATED: NO; ADDRESS: LAKEVIEW DRIVE, BASSETT, VA; NATURE OF BUSINESS: TIMBERLAND; START DATE: 09/2017; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: COLLECT REVENUE FROM TIMBER HARVEST; 5. NAME OF OTHER BUSINESS: EXECUTOR FOR MOTHERS ESTATE AND TRUSTEE FOR PARENTS; INVESTMENT RELATED: NO; ADDRESS: 4900 RIVERLAKE DR, DULUTH, GA 30097; NATURE OF BUSINESS: ESTATE / TRUST; START DATE: 09/2024; POSITION/TITLE/RELATIONSHIP:EXECUTOR / TRUSTEE; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: EXECUTOR FOR MOTHERS ESTATE / TRUSTEE DUTIES; 6. PHILPOTT DESCENDANTS, INC, NOT INVESTMENT RELATED, 95 BALSAM DR., UNION HALL, VA, 24176, REAL ESTATE, STARTED 1993, POSITION/TITLE/RELATIONSHIP: PART OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES; FAMILY OWNED VACATION PROPERTY 7. NAME OF OTHER BUSINESS: THE PHILPOTT CORPORATION; INVESTMENT RELATED: NO ADDRESS: 250 WHITE PINE ROAD BASSETTM VA 24055; NATURE OF BUSINESS: TIMBERLAND; START DATE: 05/2022; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 0 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0 ; BRIEF DESCRIPTION OF DUTIES: RURAL TIMBERLAND ;
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Robert Philpott'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: 3700 Crestwood Pkwy Ste 140, Duluth, GA 30096RIA
CRD#: 105644
DULUTH, GA
Current
November 4, 2014 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Duluth, GA
Past
November 4, 2014 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
December 19, 2011 - November 11, 2014
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
ATLANTA, GA
Past
October 28, 2011 - November 11, 2014
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ATLANTA, GA
Past
October 15, 2001 - February 28, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 31, 1999 - October 15, 2001
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
February 2, 1998 - June 29, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
September 16, 1997 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 19002
Past
February 15, 1996 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 19002
CHARLOTTE, NC
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
Georgia(11/4/2014)
IAR
Georgia(3/21/2024)
RR
Indiana(1/9/2018)
RR
Maryland(1/4/2022)
RR
North Carolina(11/4/2014)
RR
Pennsylvania(1/18/2022)
RR
Texas(6/20/2025)
IAR
Texas(6/20/2025)
RR
Virginia(11/5/2014)
Exams
State Security Law Exam
State Security Law 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.
