Steven J. Mayo

CETERA INVESTMENT ADVISERS LLC

SAN DIEGO, CA 92101

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CRD#: 2899829

Professional summary

Steven James Mayo is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Diego, California and CETERA WEALTH SERVICES, LLC located in San Diego, California.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Steven has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

NAME OF OTHER BUSINESS: RI HITMEN; INVESTMENT RELATED: NO; ADDRESS: 100 FACTORY STREET WAST WARWICK RI 02893; NATURE OF BUSINESS: ICE HOCKEY COACH; START DATE: 9/2020; POSITION/TITLE/RELATIONSHIP: HEAD COACH; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: RUN AND OVERSEE PRACTICES AND GAMES FOR YOUTH TEAM;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven James Mayo'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

April 22, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101

RIA

CRD#: 105644

SAN DIEGO, CA

Current

January 24, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101

CRD#: 13572

SAN DIEGO, CA

Current

May 7, 2019 - Present

CETERA ADVISORS LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101

CRD#: 10299

SAN DIEGO, CA

Current

October 26, 2022 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 655 W Broadway12th Fl, San Diego, CA 92101

CRD#: 10358

SAN DIEGO, CA

Past

January 24, 2019 - December 31, 2022

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

SAUNDERSTOWN, RI

Past

September 17, 2012 - November 12, 2018

CHICKASAW SECURITIES, LLC

CRD#: 128711

MEMPHIS, TN

Past

September 14, 2012 - November 12, 2018

CHICKASAW CAPITAL MANAGEMENT, LLC

RIA

CRD#: 127398

SAUNDERSTOWN, RI

Past

August 17, 2010 - July 2, 2012

IPI WEALTH MANAGEMENT, INC.

RIA

CRD#: 111872

DECATUR, IL

Past

October 21, 2009 - July 2, 2012

INVESTMENT PLANNERS, INC.

CRD#: 18557

CHAMPAIGN, IL

Past

July 28, 1997 - October 5, 2009

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

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

Rhode Island
(4/22/2024)

IAR

Rhode Island
(4/22/2024)

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: 5/18/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/28/1997

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: 7/26/1997

General Securities 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

Steven J. Mayo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven James Mayo's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA ADVISORS LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA WEALTH SERVICES, LLC

CHICKASAW SECURITIES, LLC

CHICKASAW CAPITAL MANAGEMENT, LLC

IPI WEALTH MANAGEMENT, INC.

INVESTMENT PLANNERS, INC.

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/18/2010

Series 63

Date: 11/28/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/26/1997

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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