Frederic R. Steele

CETERA INVESTMENT ADVISERS LLC

BRIDGEPORT, WV 26330

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CRD#: 2974241

Professional summary

Frederic Robert Steele II, who also goes by Rob Steele II, Frederic Robert Steele Ii Ii, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bridgeport, West Virginia and CETERA WEALTH SERVICES, LLC located in Bridgeport, West Virginia.

Frederic is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Frederic has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rob Steele Ii | Frederic Robert Steele Ii Ii

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.

1. NAME OF ENTITY: Independent Insurance Agent; Yes; 139 W MAIN ST; BRIDGEPORT; WV; 26330; Fixed Insurance Sales; Independent Insurance Agent; 2/22/2010; 160; 160; Sales of fixed insurance products; 2. NAME OF ENTITY:FREDERIC STEELE- NOTARY PUBLIC; No; 139 WEST MAIN ST; BRIDGEPORT; WV; 26330; NOTARY PUBLIC; NOTARY PUBLIC; 5/17/2017; 0; 0; NOTARIZE DOCUMENTS; 3. NAME OF OTHER BUSINESS: FIEST FINANCIAL LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederic Robert Steele II'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 139 W Main Street, Bridgeport, WV 26330

RIA

CRD#: 105644

BRIDGEPORT, WV

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 139 W Main Street, Bridgeport, WV 26330

CRD#: 13572

Bridgeport, WV

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

March 1, 2010 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

BRIDGEPORT, WV

Past

February 22, 2010 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

BRIDGEPORT, WV

Past

June 1, 2009 - February 24, 2010

MORGAN STANLEY

RIA

CRD#: 149777

BRIDGEPORT, WV

Past

June 1, 2009 - February 24, 2010

MORGAN STANLEY

CRD#: 149777

BRIDGEPORT, WV

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BRIDGEPORT, WV

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

BRIDGEPORT, WV

Past

April 17, 2001 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

BRIDGEPORT, WV

Past

June 16, 1999 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

BRIDGEPORT, WV

Past

November 25, 1997 - May 18, 1999

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

COLUMBUS, OH

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

Florida
(6/10/2021)

Georgia
(6/9/2021)

Maryland
(6/9/2021)

North Carolina
(6/9/2021)

Ohio
(6/9/2021)

Pennsylvania
(6/9/2021)

South Carolina
(6/9/2021)

Texas
(6/15/2023)

IAR

Texas
(6/29/2023)

Virginia
(6/9/2021)

West Virginia
(6/9/2021)

IAR

West Virginia
(6/29/2023)

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 65

Date: 10/28/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/17/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/9/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/12/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/24/1997

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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Advisor Monitoring

Firm Stability Insights

Frederic R. Steele

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederic Robert Steele II's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

THE HUNTINGTON INVESTMENT COMPANY

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/28/1999

Series 63

Date: 12/17/1997

SIE

Date: 10/1/2018

Series 31

Date: 9/9/1999

Series 7

Date: 8/12/1999

Series 6

Date: 11/24/1997

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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