Stephen W. Close
CETERA INVESTMENT ADVISERS LLC
LAS VEGAS, NV 89119
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CRD#: 3241129
Professional summary
Stephen William Close, CFP®, who also goes by Steve Close, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Las Vegas, Nevada and CETERA WEALTH SERVICES, LLC located in Las Vegas, Nevada.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Stephen has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Close
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.
(dba) GENROCK WEALTH MANAGEMENT LLC; Investment Related; Las Vegas, NV; Other; President; Start Date 11/2024; 40 hours per month with those 40 hours per month occurring during trading hours; This is a DBA Name - we offer life, long-term care, disability and fixed annuity insurance products. >> CLOSE FINANCIAL SERVICES, INC; Investment Related; Las Vegas, NV 89183; Insurance and Financial Services; President/CEO/Owner; Start Date 08/2006; 160 hours more/less per month with those 100 hours more/less occurring during trading hours; I am the president, owner and CEO and have all of the obligations that come with those respective titles. I am a certified financial planner and meet with clients to help them meet their needs, goals and objectives with regards to Financial, Estate and Insurance Planning; Provide Life, Health, Disability and Long-term care (LTC) insurance products and related services. >> NEVADA FIREARMS COALITION (NVFAC); Non-Investment Related; 5575 Simmons Street, Suite 1-176; North Las Vegas, NV 89031; Coalition; Treasurer; Start Date 03/2021; 2 to 3 hours per month with no hours per month occurring during trading hours; Responsible for the accounts and funds of the Coalition and for the maintenance of its books, chair the finance committee, and prepare and submit tax and other reports. >> THE CHURCH OF JESUS CHRIST OF LATTER-DAY SAINTS; Non-Investment Related; 7670 S Bruce Street, Las Vegas, NV 89123; Other; Stake Assistant Clerk - Finance; Start Date 10/2023; 6 hours per month with 2 of those hours per month occurring during trading hours; Responsible for balancing bank accounts, reimbursement of various expenses to members, and various other financial related duties as assigned by the Stake President.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen William Close'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: 2006
Experience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 376 E. Warm Springs Road Suite 265, Las Vegas, NV 89119RIA
CRD#: 105644
LAS VEGAS, NV
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 376 E. Warm Springs Road Suite 265, Las Vegas, NV 89119BD
CRD#: 13572
Las Vegas, NV
Past
September 23, 2019 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Las Vegas, NV
Past
September 12, 2019 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Las Vegas, NV
Past
June 19, 2013 - September 17, 2019
OSAIC FS, INC.
RIA
CRD#: 3870
Las Vegas, NV
Past
June 19, 2013 - September 17, 2019
OSAIC FS, INC.
BD
CRD#: 3870
Las Vegas, NV
Past
June 14, 2005 - July 2, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAS VEGAS, NV
Past
June 14, 2005 - July 2, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
LAS VEGAS, NV
Past
July 24, 2003 - June 6, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
April 12, 2002 - July 31, 2003
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
November 20, 2000 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
August 27, 1999 - October 4, 2000
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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
Alaska(2/20/2025)
RR
Arizona(2/20/2025)
RR
California(2/20/2025)
RR
Colorado(2/20/2025)
RR
Connecticut(2/20/2025)
RR
Hawaii(2/20/2025)
RR
Idaho(2/20/2025)
RR
Indiana(2/20/2025)
RR
Iowa(3/21/2025)
RR
Minnesota(4/8/2025)
RR
Nevada(2/20/2025)
IAR
Nevada(2/20/2025)
RR
New York(2/20/2025)
RR
Oregon(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(3/26/2025)
RR
Utah(2/20/2025)
RR
Virginia(2/20/2025)
RR
Washington(2/20/2025)
RR
Wisconsin(2/20/2025)
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
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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.
