SF
Steven G. Freking
CETERA INVESTMENT ADVISERS LLC
WEST DES MOINES, IA
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CRD#: 3048882
SF
Professional summary
Steven Gerard Freking, CFP®, ChFC®, CLU® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Des Moines, Iowa and CETERA WEALTH SERVICES, LLC located in West Des Moines, Iowa.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Steven has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.
1. NAME OF ENTITY:INDEPENDENT BROKERAGE NETWORK; No; 401 DOUGLAS ST STE 100; SIOUX CITY; IA; 51101; BROKERAGE INSURANCE; CO-OWNER/VP; 2/1/1998; 20; 5; OWNER/REPORTING/COMMISSIONS CALULATION/WORK WITH AGENTS; 2. NAME OF ENTITY:PARTNERS ADVANTAGE MIDWEST; No; 401 DOUGLAS ST STE 100; SIOUX CITY; IA; 51101; FIXED INSURANCE/DBA; SENIOR VICE PRESIDENT; 1/1/2013; 160; 160; SALE AND SERVICE FIXED INSURANCE PRODUCTS; 3. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 3408 WOODLAND AVE UNIT 305D; WEST DES MOINES; IA; 50266; Fixed Insurance Sales; Independent Insurance Agent; 8/21/2001; 160; 160; Sales of Fixed Insurance Products; 4. NAME OF OTHER BUSINESS: MIDWEST CONSULTANTS CORP INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 7/2021, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FIXED INSURANCE & FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Steven Gerard Freking's 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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
WEST DES MOINES, IA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
WEST DES MOINES, IA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
May 17, 2013 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
WEST DES MOINES, IA
Past
January 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WEST DES MOINES, IA
Past
August 21, 2001 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
July 1, 1998 - August 16, 2001
WORLD SECURITIES, INC.
BD
CRD#: 39431
JOPLIN, MO
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Arizona(6/9/2021)
RR
Arkansas(6/9/2021)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
RR
Florida(6/10/2021)
RR
Idaho(6/9/2021)
RR
Illinois(6/9/2021)
RR
Iowa(6/9/2021)
IAR
Iowa(6/29/2023)
RR
Kansas(6/9/2021)
RR
Maryland(6/9/2021)
RR
Massachusetts(6/9/2021)
RR
Minnesota(6/9/2021)
RR
Missouri(6/9/2021)
RR
Nebraska(6/9/2021)
RR
Nevada(6/9/2021)
RR
North Dakota(6/9/2021)
RR
Oklahoma(6/9/2021)
RR
Oregon(6/9/2021)
RR
South Dakota(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Virginia(6/9/2021)
RR
Washington(6/9/2021)
RR
Wisconsin(6/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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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)
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 | ||
| 11/18/2022 |
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.
