Stephen C. Houser
CETERA INVESTMENT ADVISERS LLC
ROCKLEDGE, FL 32955
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CRD#: 3124558
Professional summary
Stephen C Houser, CFP®, who also goes by Stephen Clarke Houser, Stephen Clarke Houser, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rockledge, Florida and CETERA FINANCIAL SPECIALISTS LLC located in Rockledge, Florida.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Stephen has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Clarke Houser | Stephen Clarke Houser
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 OTHER BUSINESS: DHSH FINANCIAL SERVICES, INC. DBA HOUSER FINANCIAL GROUP ; INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: TAX, ACCOUNTING AND FINANCIAL SERVICES ; START DATE: 09/2017 ; POSITION/TITLE/RELATIONSHIP:OWNER / CPA / CFP APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION. ACCOUNTING. LIMITED POWER OF ATTORNEY FOR IRS AND OTHER TAX MATTERS. BUSINESS AND PERSONAL CONSULTING. SECURITIES AND INSURANCE 2) CIV-MIL FOUN; NOT INV REL; TREAS; SIGN CHECKS, BD MTGS, ASSIST-FUND RAISING, CHARITABLE, COMM. NEEDS; NON PROFIT; SINCE 01/2000; 1 HR/WK: 3) SPACE COAST BAILLIAGE OF LA CHAINE DES ROTISSEURS, NON-INVESTMENT RELATED, 1017 PATHFINDER WAY, SUITE 100, START DATE 01/29/2014, 5 HRS/WEEK, SOCIAL ORGANIZATION FOR THE APPRECIATION AND EDUCATION OF CULINARY ARTS AND BEVERAGE, TREASURER; 4)NAME OF OTHER BUSINESS: DHSH FINANCIAL SERVICES INC DBA HOUSER FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SIMPLE PLAN ; START DATE: 08/2020 POSITION/TITLE/RELATIONSHIP: TRUSTEE / PLAN ADMINISTRATOR ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: SIMPLE PLAN FOR DHSH FINANCIAL SERVICES ; 5) NAME OF OTHER BUSINESS: SHOUSER LLC ; INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: FISHING CHARTER ; START DATE: 10/2011 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: NONE ; APX NUMBER OF HOURS DURING TRADING HOURS: NONE ; BRIEF DESCRIPTION OF DUTIES: NONE ;
CRS (Client Relationship Summary) - RIA
Click below to view Stephen C Houser'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®
CFP®
Start date: 1990
Experience
Current
July 8, 2004 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 391 Commerce Parkway Ste 200, Rockledge, FL 32955RIA
CRD#: 105644
ROCKLEDGE, FL
Current
June 2, 2004 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 391 Commerce Parkway Ste 200, Rockledge, FL 32955BD
CRD#: 10358
Rockledge, FL
Past
January 1, 1999 - September 30, 2004
HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.
RIA
CRD#: 105560
COCOA, FL
Past
December 14, 1998 - September 15, 2004
HOCHMAN & BAKER SECURITIES, INC.
BD
CRD#: 19949
STAMFORD, CT
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
Arkansas(12/23/2015)
RR
Florida(6/2/2004)
IAR
Florida(7/8/2004)
RR
Georgia(9/16/2004)
RR
Missouri(4/5/2023)
RR
North Carolina(7/23/2015)
RR
Pennsylvania(2/25/2022)
RR
Virginia(1/2/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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.
