SJ
Steven T. Jacques
CETERA INVESTMENT ADVISERS LLC
SHELTON, CT 06484
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CRD#: 4143396
SJ
Professional summary
Steven Todd Jacques, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Shelton, Connecticut and CETERA WEALTH SERVICES, LLC located in Wallingford, Connecticut.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Steven has worked at 3 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.
NAME OF ENTITY:LIGHTHOUSE FINANCIAL, LLC; Yes; 213 EAST MAIN ST; MERIDEN; CT; 06450; FINANCIAL SERVICES/DBA; OWNER; 5/5/2005; 160; 160; SALE OF FIXED INSURANCE & SECURITIES ADN INVESTMENT PRODUCTS|NAME OF ENTITY:Lighthouse Financial Center, LLC; Yes; 213 EAST MAIN ST; MERIDEN; CT; 06450; DBA & property rental; owner; 9/1/2007; 160; 160; sales and service of fixed insurance products, rental of property|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 213 EAST MAIN ST; MERIDEN; CT; 6450; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 5/28/2009; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|
CRS (Client Relationship Summary) - RIA
Click below to view Steven Todd Jacques'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: 2011
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4 Research Dr Ste 402 Regus Business Center, Shelton, CT 06484Office #2: 213 E Main St, Meriden, CT 06450RIA
CRD#: 105644
SHELTON, CT
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 950 Yale Ave Suite #30, Wallingford, CT 06492BD
CRD#: 13572
Wallingford, CT
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SHELTON, CT
Past
November 16, 2000 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
MERIDEN, CT
Past
March 9, 2000 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
MERIDEN, CT
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(1/3/2023)
RR
Arizona(6/9/2021)
RR
California(6/9/2021)
RR
Connecticut(6/9/2021)
IAR
Connecticut(6/29/2023)
RR
Delaware(6/9/2021)
RR
Florida(6/10/2021)
RR
Idaho(3/6/2025)
RR
Illinois(6/9/2021)
RR
Maine(6/9/2021)
RR
Maryland(3/6/2025)
RR
Massachusetts(6/9/2021)
RR
Michigan(3/7/2025)
RR
Missouri(6/9/2021)
RR
New Hampshire(6/9/2021)
RR
New Jersey(6/9/2021)
RR
New York(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Pennsylvania(6/9/2021)
RR
Rhode Island(6/9/2021)
RR
South Carolina(6/9/2021)
RR
South Dakota(4/13/2022)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Utah(6/9/2021)
RR
Vermont(6/9/2021)
RR
Virginia(6/9/2021)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Shelton, CT 06484TRUST BUT VERIFY
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