SZ
Steven M. Zimmerman
CETERA INVESTMENT ADVISERS LLC
WAYNE, PA 19087
Some features on this profile are disabled
CRD#: 3207794
SZ
Professional summary
Steven Michael Zimmerman, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wayne, Pennsylvania and CETERA ADVISORS LLC located in Wayne, Pennsylvania.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Steven has worked at 6 firms and has passed the Series 65, 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.FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE: 1987, INSURANCE AGENT , APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG TERM CARE, AND BONDING 2.. NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LIFE SETTLEMENT START DATE: 11/2017 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE SETTLEMENTS THROUGH WELCOME FUNDS, INC. ; 3. DBA MAGIS FINANCIAL PARTNERS, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 03/2021, PRESIDENT, APX NUMBER OF HOURS PER WEEK: 35, 32.5 DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES THROUGH CETERA ADVISORS ;
CRS (Client Relationship Summary) - RIA
Click below to view Steven Michael Zimmerman'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: 2003
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 460 E Swedesford Road Suite 2030, Wayne, PA 19087RIA
CRD#: 105644
WAYNE, PA
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 460 E Swedesford Road Suite 2030, Wayne, PA 19087BD
CRD#: 10299
Wayne, PA
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
September 14, 2009 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
HORSHAM, PA
Past
December 11, 2008 - December 15, 2008
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
HORSHAM, PA
Past
December 11, 2008 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
HORSHAM, PA
Past
January 23, 2008 - September 2, 2008
RUTHERFORD, BROWN & CATHERWOOD, LLC
BD
CRD#: 10306
WAYNE, PA
Past
May 4, 2001 - March 9, 2021
MAGIS FINANCIAL PARTNERS
RIA
CRD#: 121445
HORSHAM, PA
Past
April 26, 1999 - July 16, 2007
WHARTON EQUITY CORPORATION
BD
CRD#: 10170
WAYNE, PA
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(1/2/2024)
RR
Colorado(1/3/2017)
RR
Delaware(10/3/2016)
RR
District of Columbia(3/10/2021)
RR
Florida(10/3/2016)
RR
Georgia(10/3/2016)
RR
Maryland(10/3/2016)
RR
Nevada(10/3/2016)
RR
New Hampshire(1/2/2025)
RR
New Jersey(10/3/2016)
RR
New York(10/3/2016)
RR
North Carolina(1/3/2022)
RR
Pennsylvania(10/3/2016)
IAR
Pennsylvania(3/21/2024)
RR
Virginia(1/2/2025)
Exams
State Security Law Exam
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
