BS
Bret M. Steffenauer
CETERA INVESTMENT ADVISERS LLC
COLUMBIA, IL 62236
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CRD#: 4240688
BS
Professional summary
Bret Michael Steffenauer is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Columbia, Illinois and CETERA FINANCIAL SPECIALISTS LLC located in Columbia, Illinois.
Bret is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Bret has worked at 2 firms and has passed the Series 65, 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) O1/1997-PRESENT REAL ESTATE INVETMENT MGNT INC BUSINESS IS NON - RESIDENTIAL RENTAL PROPERTY S CORPORATION LOCATED IN COLUMBIA,IL 62236 50% STOCK HOLDER. 2) STEFFENAUER & ASSOCIATES CPAS INC; NON-INV REL; COLUMBIA, IL; ACCOUNTING CPA; OWNER; START DATE 10/2012; 150 HRS/MTH, 40 DURING SECURITES TRADING HRS:
CRS (Client Relationship Summary) - RIA
Click below to view Bret Michael Steffenauer'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
September 9, 2022 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 260 Southwoods Ctr., Columbia, IL 62236RIA
CRD#: 105644
COLUMBIA, IL
Current
August 29, 2000 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 260 Southwoods Ctr., Columbia, IL 62236BD
CRD#: 10358
Columbia, IL
Past
November 6, 2000 - December 31, 2003
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
COLUMBIA, IL
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(11/25/2014)
RR
Arkansas(9/28/2006)
RR
California(1/2/2020)
RR
Colorado(11/1/2022)
RR
Florida(9/15/2025)
RR
Georgia(1/9/2016)
RR
Illinois(9/19/2000)
IAR
Illinois(9/9/2022)
RR
Indiana(1/2/2018)
RR
Kansas(1/9/2016)
RR
Louisiana(1/2/2025)
RR
Missouri(1/24/2001)
RR
Ohio(4/21/2011)
Exams
State Security Law Exam
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
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.
