Steffen M. Perry

CETERA INVESTMENT ADVISERS LLC

RALEIGH, NC 27601

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CRD#: 2815763

Professional summary

Steffen Michelle Perry, who also goes by Steffen M Perry, Steffenie Perry, Steffen Michelle Shaffer N/a, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Raleigh, North Carolina and CETERA INVESTMENT SERVICES LLC located in Raleigh, North Carolina.

Steffen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Steffen has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steffen M Perry | Steffenie Perry | Steffen Michelle Shaffer N/a

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.

FIRST NATIONAL TRUST COMPANY AND FNB INVESTMENT ADVISORS INC, WEALTH ADVISOR, DOES NOT MAKE INVESTMENT DECISIONS, DOES NOT PARTICIPATE IN THE EXECUTION OF TRANSACTIONS, DOES NOT RECOMMEND SPECIFIC INVESTMENT PROTFOLIOS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steffen Michelle Perry'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

November 18, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 501 Fayetteville St Floor 7, Raleigh, NC 27601

RIA

CRD#: 105644

RALEIGH, NC

Current

November 25, 2020 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 501 Fayetteville St 7th Floor, Raleigh, NC 27601

CRD#: 15340

Raleigh, NC

Past

July 13, 2018 - December 6, 2018

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

RALEIGH, NC

Past

July 13, 2018 - December 6, 2018

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

RALEIGH, NC

Past

September 13, 2016 - June 8, 2018

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

CHAPEL HILL, NC

Past

April 13, 2015 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

CHAPEL HILL, NC

Past

March 11, 2015 - June 8, 2018

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

CHAPEL HILL, NC

Past

November 9, 1998 - June 8, 2001

JBS LIBERTY SECURITIES, INC.

CRD#: 36179

KANNAPOLIS, NC

Past

November 21, 1996 - August 19, 1998

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

IAR

North Carolina
(11/18/2020)

North Carolina
(11/25/2020)

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

State Security Law Exam

IAR

Series 66

Date: 4/10/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/7/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/11/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/5/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Firm Stability Insights

Steffen M. Perry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steffen Michelle Perry's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

JBS LIBERTY SECURITIES, INC.

FIRST UNION BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/10/2015

Series 63

Date: 11/7/1996

SIE

Date: 10/1/2018

Series 7

Date: 3/11/2015

Series 6

Date: 11/5/1996

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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