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Stephen Robert Philpott

CETERA INVESTMENT ADVISERS
DULUTH, GA
·CRD# 2634598·31 years experience

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.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Steve Philpott

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

31 years in the financial services industry

Current & Past Employments

CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
3700 Crestwood Pkwy Ste 140, Duluth, GA 30096
March 21, 2024 - Present
CETERA ADVISORS LLC·CRD# 10299
BD
Duluth, GA
November 4, 2014 - Present
CETERA ADVISORS LLC·CRD# 10299
RIA
Greenwood Village, IL
November 4, 2014 - March 21, 2024
MML INVESTORS SERVICES, LLC·CRD# 10409
RIA
Atlanta, GA
December 19, 2011 - November 11, 2014
MML INVESTORS SERVICES, LLC·CRD# 10409
BD
Atlanta, GA
October 28, 2011 - November 11, 2014
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
St. Louis, MO
October 15, 2001 - February 28, 2002
WACHOVIA SECURITIES, INC.·CRD# 431
BD
Charlotte, NC
August 31, 1999 - October 15, 2001
FIRST UNION CAPITAL MARKETS CORP.·CRD# 6124
BD
Charlotte, NC
February 2, 1998 - June 29, 1999
FIRST UNION CAPITAL MARKETS CORP.·CRD# 19002
BD
September 16, 1997 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.·CRD# 19002
BD
Charlotte, NC
February 15, 1996 - February 2, 1998

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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 - SEC (1/13/1984 Approved)

Contact Information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Phone Number

(310) 257-7880

# of Employees

10,251

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

813,961

AUM (Assets Under Management)

$256,813,748,739

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2026Cover PageReport
10/27/2025Cover PageReport
12/13/2024Cover PageReport
09/26/2023Cover PageReport

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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 ;

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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 - SEC (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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
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)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Nov 2011About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1995About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 2011About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Stephen Robert Philpott's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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