Steven H. Turtz
Professional summary
Steven Howard Turtz, who also goes by Steve Turtz, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1997. Steven has worked at 13 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Howard Turtz's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 14, 2025 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301May 18, 2022 - August 15, 2025
LPL FINANCIAL LLC
February 22, 2018 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
July 5, 2013 - January 24, 2018
LPL FINANCIAL LLC
May 9, 2013 - June 10, 2013
U.S. BANCORP ADVISORS, LLC
August 11, 2011 - March 7, 2013
P.J. ROBB VARIABLE, LLC
January 9, 2009 - July 11, 2011
TRUIST INVESTMENT SERVICES, INC.
June 23, 2006 - December 31, 2008
COMERICA SECURITIES
August 25, 2005 - June 26, 2006
KESTRA INVESTMENT SERVICES, LLC
February 8, 2005 - August 29, 2005
OSAIC FS, INC.
December 13, 2000 - July 29, 2004
WELLS FARGO INVESTMENTS, LLC
September 4, 1998 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
January 9, 1998 - June 8, 1998
PRINCIPAL SECURITIES, INC.
July 10, 1997 - January 15, 1998
MERRIMAN CAPITAL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/14/2025)
Exams
FINRA
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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Company Information
CETERA INVESTMENT SERVICES LLC
CRD#: 15340St Cloud, MN 56301TRUST BUT VERIFY
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