Stephen L. Murdock

CETERA INVESTMENT ADVISERS LLC

WHITTIER, CA 90603

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CRD#: 342990

Professional summary

Stephen Lawrence Murdock, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Whittier, California and CETERA WEALTH SERVICES, LLC located in Whittier, California.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Stephen has worked at 7 firms and has passed the Series 63, Series 7TO, SIE and Series 1 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. NAME OF OTHER BUSINESS: QUANTUM ECONMETRICS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS START DATE: 3/2016 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF TRADING HOURS PER WEEK: 32.5 POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISEMENT REPRESENTATIVE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Lawrence Murdock'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 1981

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 15141 E Whittier Blvd Ste 550, Whittier, CA 90603

RIA

CRD#: 105644

WHITTIER, CA

Current

July 1, 1988 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 15141 E Whittier Blvd Ste 550, Whittier, CA 90603

CRD#: 13572

Whittier, CA

Past

April 25, 2017 - November 22, 2023

QUANTUM ECONOMETRICS, LLC

RIA

CRD#: 161197

WHITTIER, CA

Past

February 21, 2002 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

WHITTIER, CA

Past

October 20, 1987 - July 6, 1988

LINSCO FINANCIAL GROUP, INC.

CRD#: 524

Past

June 13, 1986 - October 23, 1987

COOPERATIVE FINANCIAL PLANNERS, LTD.

CRD#: 16891

Past

August 17, 1983 - October 23, 1987

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Past

July 11, 1979 - October 17, 1983

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

July 1, 1974 - November 12, 1985

TOWER SQUARE SECURITIES, INC.

CRD#: 833

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

Arizona
(1/22/2013)

California
(7/6/1988)

IAR

California
(6/29/2023)

Florida
(9/27/2018)

Idaho
(11/14/2018)

Illinois
(5/20/2021)

Kansas
(1/30/2020)

Missouri
(9/18/2014)

Nevada
(5/25/2016)

New Jersey
(1/4/2019)

New York
(6/26/2024)

Oregon
(3/1/2010)

Texas
(3/11/2020)

IAR

Texas
(6/29/2023)

Utah
(2/18/2014)

Washington
(1/26/1995)

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

Series 63

Date: 10/27/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 6/24/1974

Registered Representative 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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Stephen L. Murdock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Lawrence Murdock's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

QUANTUM ECONOMETRICS, LLC

CETERA WEALTH SERVICES, LLC

LINSCO FINANCIAL GROUP, INC.

COOPERATIVE FINANCIAL PLANNERS, LTD.

CETERA WEALTH SERVICES, LLC

SOUTHMARK FINANCIAL SERVICES, INC.

TOWER SQUARE SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/27/1994

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 6/24/1974

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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