Brent R. Steiner
CETERA INVESTMENT ADVISERS LLC
SMITHVILLE, OH 44677
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CRD#: 4191434
Professional summary
Brent R. Steiner, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Smithville, Ohio and CETERA ADVISORS LLC located in Smithville, Ohio.
Brent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Brent has worked at 3 firms and has passed the Series 66, SIE and Series 7 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: RAMSIER FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 2010; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 40-60; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; (2) WAYNE COLLEGE ORRVILLE OHIO, START 05/08, 790 E MAIN ST SMITHVILLE OH 44677, 30MIN/WK, CONDUCTS EDUCATIONAL SEMINARS (3) WAYNE COUNTY COMMUNITY FOUNDATION, NOT INVESTMENT RELATED, 517 NORTH MARKET STREET, WOOSTER, OH 44691, START 6/30/2013, BOARD MEMBER, SELECTING SCHOLARSHIP AND GRANT RECIPIENTS, HELP ENDOWMENT ADHERE TO THEIR INVESTMENT POLICY STATEMENT, 1 HOUR A WEEK NOT DURING THE TRADING HOURS. (4) NAME OF OTHER BUSINESS: N/A ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: POWER OF ATTORNEY ; START DATE: 09/2021 ; POSITION/TITLE/RELATIONSHIP: POWER OF ATTORNEY / TRUSTEE ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: POWER OF ATTORNEY FOR FAMILY MEMBERS ; (5)NAME OF OTHER BUSINESS: APOSTOLIC CHRISTIAN HOME & APOSTOLIC CHRISTIAN VILLAGE, INVESTMENT RELATED: NO, ADDRESS: 10680 STEINER RD, RITTMAN, OH 44270, NATURE OF BUSINESS: RETIREMENT COMMUNITY, START DATE: 02/2023, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 2-3, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: REVIEW BUDGETS, APPROVE LARGE EXPENSES, MEET WITH DIRECTOR TO PLAN FOR FUTURE; (6) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 01/2001; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ; (7) NAME OF OTHER BUSINESS: RFS HOLDINGS LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REAL ESTATE; START DATE: 08/2025; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: HOLDING COMPANY FOR REAL ESTATE HOLDINGS;
CRS (Client Relationship Summary) - RIA
Click below to view Brent R. Steiner'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: 790 E Main St, Smithville, OH 44677RIA
CRD#: 105644
SMITHVILLE, OH
Current
January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 790 E Main St, Smithville, OH 44677BD
CRD#: 10299
Smithville, OH
Past
January 1, 2004 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
SMITHVILLE, OH
Past
November 16, 2001 - January 1, 2004
VESTAX SECURITIES CORPORATION
RIA
CRD#: 10332
SMITHVILLE, OH
Past
June 14, 2000 - January 1, 2004
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
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
Alabama(5/31/2005)
RR
Arizona(5/8/2017)
RR
California(4/3/2008)
RR
Colorado(4/23/2024)
RR
District of Columbia(3/19/2015)
RR
Florida(1/1/2004)
RR
Georgia(8/19/2010)
RR
Illinois(3/22/2022)
RR
Indiana(2/11/2019)
RR
Kentucky(1/24/2023)
RR
Louisiana(1/24/2023)
RR
Maine(3/29/2023)
RR
Maryland(12/19/2024)
RR
Michigan(1/1/2004)
RR
Montana(1/4/2021)
RR
Nevada(1/4/2013)
RR
North Carolina(1/1/2004)
RR
Ohio(1/1/2004)
IAR
Ohio(3/21/2024)
RR
Oklahoma(1/14/2023)
RR
Pennsylvania(9/22/2017)
RR
South Carolina(1/4/2018)
RR
Tennessee(7/30/2021)
RR
Texas(10/11/2016)
IAR
Texas(3/21/2024)
RR
Virginia(3/18/2011)
RR
Washington(1/24/2023)
RR
West Virginia(9/20/2019)
RR
Wisconsin(2/26/2015)
Exams
State Security Law 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
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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.
