Stephen M. Houg
CETERA INVESTMENT ADVISERS LLC
URBANDALE, IA 50322
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CRD#: 3136489
Professional summary
Stephen Michael Houg, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Urbandale, Iowa and CETERA WEALTH SERVICES, LLC located in Urbandale, Iowa.
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 63, SIE, Series 7 and Series 6 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) FINANCIAL PEACE UNIVERSITY POSITION: Volunteer NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2018 ADDRESS: , Urbandale IA , United States DESCRIPTION: Volunteer 2) GUIDE FINANCIAL GROUP POSITION: Agent/Broker NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 05/01/2014 ADDRESS: , Urbandale IA , United States DESCRIPTION: Agent/Broker 3) SAMA FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/25/2019 ADDRESS: , Hiawatha IA , United States DESCRIPTION: Agent/Broker 4) NAME OF OTHER BUSINESS: HOUG PROPERTIES LLC; INVESTMENT RELATED: NO; ADDRESS: 2229 E. GRANTVIEW DR. CORALVILLE, IA 52241 NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 05/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RENTAL OF TOWN HOME; 5) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: NOTARIAL SERVICES, START DATE:03/2004, POSITION/TITLE/RELATIONSHIP: NOTARY, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: NOTARIZE DOCUMENTS AS NEEDED FOR CLIENTS.; 6) NAME OF OTHER BUSINESS: ALPHA WOMEN'S CENTER; INVESTMENT RELATED: NO; ADDRESS: 114 SW STATE ST ANKENY, IA 50023; NATURE OF BUSINESS: NON PROFIT; START DATE: 06/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND 4-6 BOARD MEETINGS PER YEAR;
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Michael Houg'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: 2012
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2900 100th St St 301, Urbandale, IA 50322RIA
CRD#: 105644
URBANDALE, IA
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2900 100th St Suite 301, Urbandale, IA 50322BD
CRD#: 13572
Urbandale, IA
Past
September 30, 2002 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
URBANDALE, IA
Past
January 18, 1999 - December 31, 2004
CAULDWELL FINANCIAL GROUP INC
RIA
CRD#: 106871
WEST DES MOINES, IA
Past
November 3, 1998 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
URBANDALE, IA
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
Alabama(8/10/2023)
RR
Arizona(8/10/2023)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Florida(8/11/2023)
RR
Illinois(8/10/2023)
RR
Indiana(8/10/2023)
RR
Iowa(8/10/2023)
IAR
Iowa(8/10/2023)
RR
Kansas(8/10/2023)
RR
Minnesota(8/10/2023)
RR
Missouri(8/10/2023)
RR
Montana(8/10/2023)
RR
Nebraska(8/10/2023)
RR
Ohio(8/10/2023)
RR
Oklahoma(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
South Dakota(9/1/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Wisconsin(8/10/2023)
Exams
State Security Law Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Urbandale, IA 50322TRUST BUT VERIFY
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