MS
Michelle S. Stewart
CETERA INVESTMENT ADVISERS LLC
LOS ANGELES, CA 90049
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CRD#: 4228168
MS
Professional summary
Michelle Sule Stewart, who also goes by Michelle S Sule, Michelle S. Sule, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Los Angeles, California and CETERA WEALTH SERVICES, LLC located in Los Angeles, California.
Michelle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Michelle has worked at 3 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michelle S Sule | Michelle S. Sule
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: MAXIMUM YARNAGE
INVESTMENT RELATED: NO
ADDRESS: 620 W VERNON DRIVE, UPLAND, CA 91786
NATURE OF BUSINESS: HAND DYED YARN, KNITTING/CROCHET, TUTORIALS, ARTS
START DATE: 5/19
POSITION/TITLE/RELATIONSHIP: OWNER
APX NUMBER OF HOURS PER WEEK: 1-3
APX NUMBER OF HOURS DURING TRADING HOURS: 1-3
BRIEF DESCRIPTION OF DUTIES: OWNER
2. NAME OF OTHER BUSINESS: GOLDSTEIN FINANCIAL - BRENTWOOD FINANCIAL ADVISORS
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FINANCIAL INDUSTRY
START DATE: 6/19
POSITION/TITLE/RELATIONSHIP: SR. CLIENT SERVICE ASSOCIATE
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 40
BRIEF DESCRIPTION OF DUTIES: OPERATIONAL DUTIES SUCH AS CLIENT CUSTOMER SERVICE AND ADMINISTRATIVE ASSISTANT DUTIES, SALES ASSISTANT TO LARRY GOLDSTEIN AND BROOKE GOLDSTEIN
CRS (Client Relationship Summary) - RIA
Click below to view Michelle Sule Stewart'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 11726 San Vicente Blvd Ste 235, Los Angeles, CA 90049RIA
CRD#: 105644
LOS ANGELES, CA
Current
June 24, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 11726 San Vicente Blvd Ste 235, Los Angeles, CA 90049BD
CRD#: 13572
Los Angeles, CA
Past
June 25, 2019 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 23, 2008 - June 14, 2019
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
LOS ANGELES, CA
Past
November 1, 2007 - June 14, 2019
OPPENHEIMER & CO. INC.
BD
CRD#: 249
LOS ANGELES, CA
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
California(6/26/2019)
IAR
California(6/29/2023)
Exams
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
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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.
