Stephen J. Solaka

GATEWAY INVESTMENT ADVISERS

Los Angeles, CA 90067

CRD#: 2645865

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Professional summary

Stephen Joseph Solaka, who also goes by Stephen Solaka, is a registered financial advisor currently at GATEWAY INVESTMENT ADVISERS, LLC located in Los Angeles, California.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Stephen has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Solaka

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Joseph Solaka'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®

None

Experience

Current

September 3, 2025 - Present

GATEWAY INVESTMENT ADVISERS, LLC

Office #1: 1875 Century Park E Suite 1780, Los Angeles, CA 90067

RIA

CRD#: 146681

Los Angeles, CA

Past

July 15, 2010 - September 30, 2025

BELMONT CAPITAL GROUP

RIA

CRD#: 154078

LOS ANGELES, CA

Past

December 9, 2005 - June 20, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LOS ANGELES, CA

Past

November 16, 2005 - June 20, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

LOS ANGELES, CA

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".

GATEWAY INVESTMENT ADVISERS, LLC

CRD#: 146681 / SEC#: 801-68972

RIA

Registered Investment Advisory firm - (4/18/2008 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.

Highlighted states indicate IAR registrations

IAR

Ohio
(9/3/2025)

IAR

Texas
(9/30/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/8/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/15/2005

General Securities Representative Examination

Current Firm

GATEWAY INVESTMENT ADVISERS, LLC

CRD#: 146681 / SEC#: 801-68972

RIA

Registered Investment Advisory firm - (4/18/2008 Approved)

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Contact information

Main Address

312 Walnut Street Suite 3500, Cincinnati, OH 45202-9834

Mailing Address

Phone number

(513) 719-1100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GATEWAY INVESTMENT ADVISERS, LLC FORM ADV PARTS 2A AND 2B DATED 2025 (9/26/2025)

Regulatory assets under management

Total Number of Accounts	276
AUM (Assets Under Management)	$ 10,909,371,942

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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Stephen J. Solaka

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Joseph Solaka's CRS (Customer Relationship Summary).

Certified licenses

Experience

GATEWAY INVESTMENT ADVISERS, LLC

BELMONT CAPITAL GROUP

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

GATEWAY INVESTMENT ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/8/2005

Series 7

Date: 11/15/2005

Current Firm

GATEWAY INVESTMENT ADVISERS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GATEWAY INVESTMENT ADVISERS, LLC

TRUST BUT VERIFY

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