Stephen J. Fisher
Professional summary
Stephen John Fisher JR, who also goes by Stephen John Fisher, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Columbiana, Ohio and CETERA INVESTMENT SERVICES LLC located in Columbiana, Ohio.
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 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen John Fisher JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 1, 2017 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 340 State Route 14, Columbiana, OH 44408June 23, 2009 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 340 State Route 14, Columbiana, OH 44408Office #2: 9001 Market St, North Lima, OH 44452Office #3: 2424 E State St, Salem, OH 44460July 10, 2003 - June 8, 2009
NATCITY INVESTMENTS, INC.
February 5, 2002 - February 21, 2003
FARMERS FINANCIAL SOLUTIONS, LLC
May 30, 2001 - January 18, 2002
NEW ENGLAND SECURITIES
September 19, 1997 - April 27, 2001
IDS LIFE INSURANCE COMPANY
September 19, 1997 - April 27, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
April 3, 1997 - September 4, 1997
FAIRCHILD FINANCIAL GROUP, INC.
December 18, 1996 - March 12, 1997
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/25/2014)
(2/21/2017)
(9/22/2015)
(1/31/2013)
(2/15/2017)
(6/23/2009)
(6/1/2017)
(6/23/2009)
(7/28/2023)
(4/23/2018)
(11/15/2021)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
Red Flags
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