RS
Robert J. Stern
CETERA INVESTMENT ADVISERS LLC
STEVENSON RANCH, CA 91381
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CRD#: 3147256
RS
Professional summary
Robert John Stern is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Stevenson Ranch, California and CETERA WEALTH SERVICES, LLC located in Stevenson Ranch, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Robert has worked at 4 firms and has passed the Series 66, Series 63, 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) Stern, Kory, Sreden & Morgan 24961 The Old Road~Stevenson Ranch~CA~91381~Tax Preparation/Accounting~Tax Preparation/Accounting~5/1/2000~200hrs~150hrs~Management 2) Robert Stern 24961 The Old Road~Stevenson Ranch~CA~91381~Independent Insurance Agent~Owner/Sole Proprietor~3/31/2003~0hrs~0hrs~self employed/fixed annuities 3) HMNMH FOUNDATION POSITION: Treasurer NATURE: Henry Mayo Newhall Memorial Hospital Foundation Board member. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2022; 23845 McBean Pkwy, Valencia CA 91355; Attend monthly meetings. Approve budgets and meeting minutes. Approve funding for various hospital projects and equipment. 4)NEWHALL ROTARY COMMUNITY FOUNDATION POSITION: Treasurer NATURE: Fundraising arm of the Newhall Rotary Club. The Club raises money for local charities and the foundation manages the funds. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 24961 The Old Road, 2nd Floor, Stevenson Ranch CA 91381, United States DESCRIPTION: Annual meeting to determine charities to support.Prepare checks for signature and distribution.
CRS (Client Relationship Summary) - RIA
Click below to view Robert John Stern'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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 24961 The Old Road 2nd Floor, Stevenson Ranch, CA 91381RIA
CRD#: 105644
STEVENSON RANCH, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 24961 The Old Road 2nd Floor, Stevenson Ranch, CA 91381BD
CRD#: 13572
STEVENSON RANCH, CA
Past
October 9, 2001 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
STEVENSON RANCH, CA
Past
January 26, 1999 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
STEVENSON RANCH, CA
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(9/5/2025)
RR
California(9/5/2025)
IAR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Louisiana(9/5/2025)
RR
New York(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
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
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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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Stevenson Ranch, CA 91381TRUST BUT VERIFY
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