Stephanie C. Warywoda

CETERA INVESTMENT ADVISERS LLC

WEST DES MOINES, IA 50266

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CRD#: 3209816

Professional summary

Stephanie Christine Warywoda, who also goes by Stephanie Christine Krahn, Stephanie Christine Warywoda, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Des Moines, Iowa and CETERA INVESTMENT SERVICES LLC located in West Des Moines, Iowa.

Stephanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Stephanie has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephanie Christine Krahn | Stephanie Christine Warywoda

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Christine Warywoda's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266Office #2: 1313 Tomahawk Trail, Ellston, IA 50074

RIA

CRD#: 105644

WEST DES MOINES, IA

Current

March 17, 2023 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266

CRD#: 15340

West Des Moines, IA

Current

March 17, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266

CRD#: 13572

West Des Moines, IA

Current

March 17, 2023 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266

CRD#: 10358

West Des Moines, IA

Current

March 17, 2023 - Present

CETERA ADVISORS LLC

Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266

CRD#: 10299

West Des Moines, IA

Past

March 17, 2023 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

June 26, 2019 - December 8, 2022

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

DES MOINES, IA

Past

April 14, 2015 - December 8, 2022

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

May 14, 2012 - April 6, 2015

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

DES MOINES, IA

Past

August 7, 2007 - February 1, 2010

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

DES MOINES, IA

Past

August 7, 2007 - August 24, 2011

CETERA ADVISORS LLC

CRD#: 10299

DES MOINES, IA

Past

August 7, 2007 - August 24, 2011

CETERA WEALTH SERVICES, LLC

CRD#: 13572

DES MOINES, IA

Past

August 17, 2006 - July 3, 2007

DEWAAY FINANCIAL NETWORK, LLC

CRD#: 30767

CLIVE, IA

Past

June 20, 2005 - July 24, 2006

TRANSAMERICA FINANCIAL ADVISORS, INC.

RIA

CRD#: 3600

LOS ANGELES, CA

Past

January 6, 2005 - July 24, 2006

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

November 4, 1999 - January 4, 2005

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, 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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Iowa
(3/17/2023)

IAR

Iowa
(6/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/25/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/21/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/19/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/3/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/14/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 5/12/2000

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Stephanie C. Warywoda

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Christine Warywoda's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

DEWAAY FINANCIAL NETWORK, LLC

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/25/2019

Series 63

Date: 7/21/2003

SIE

Date: 10/1/2018

Series 7

Date: 11/19/2003

Series 6

Date: 11/3/1999

Series 24

Date: 11/14/2005

Series 26

Date: 5/12/2000

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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