SH
Stephen W. Hillard
CETERA INVESTMENT ADVISERS LLC
NORTH BEND, WA
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CRD#: 4310985
SH
Professional summary
Stephen Wayne Hillard is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in North Bend, Washington and CETERA WEALTH SERVICES, LLC located in North Bend, Washington.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Stephen has worked at 4 firms and has passed the Series 65, Series 63, 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) Tax Professionals Etc.~'NIR'~212 1st ST NE, Tax Professionals Etc.~Auburn~WA~98002~Accounting Services/Tax Preparation~Owner~11/1/2008~70hrs~50hrs~I am responsible for tax preparation and oversight of all operations pertaining to filing returns, office administration, backup data and computer and phone systems. Also, remaining in current compliance with the IRS. 2) Hillard Wealth Services Inc~'IR'~27342 227th PL SE~Maple Valley~WA~98038~Other~Other~1/1/2016~100hrs~80hrs~Deposit and accounting of Revenue for running of my office and payment of Federal Income Tax.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Wayne Hillard'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 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
NORTH BEND, WA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 2020 "a" Street Se Suite 104, Auburn, WA 98002BD
CRD#: 13572
North Bend, WA
Past
February 14, 2005 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
North Bend, WA
Past
January 1, 2001 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
North Bend, WA
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
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
New Mexico(9/5/2025)
RR
Oregon(9/5/2025)
RR
Utah(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
IAR
Washington(9/5/2025)
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.
