Sarah Stewart
CETERA INVESTMENT ADVISERS LLC
CINCINNATI, OH 45242
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CRD#: 4419788
Professional summary
Sarah Stewart, AIF®, CFP®, who also goes by Sarah Mary Miller, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cincinnati, Ohio and CETERA ADVISORS LLC located in Cincinnati, Ohio.
Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Sarah has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sarah Mary Miller
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: FREEMAN HEYNE TOMA, LLC DBA FHT ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2017; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; POSITION/TITLE/RELATIONSHIP: PARTNER/ADVISOR; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE SALES START DATE: 1/2016 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF TRADING HOURS PER WEEK: 32.5 POSITION/TITLE/RELATIONSHIP: INSURANCE SALES BRIEF DESCRIPTION OF DUTIES: SELLING LIFE, HEALTH, DISABILITY, ANNUITIES, LTC, AND GROUP INSURANCE 3. DECA, NOT INVESTMENT RELATED, 1 EAGLES WAY, MILFORD, OH, 45150, NON-PROFIT, STARTED 05/2021, POSITION/TITLE/RELATIONSHIP: ADVISORY COUNCIL MEMBER, APX 1 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: MEET WITH CHAPTER LEADERS AND LOCAL BUSINESS OWNERS TO DISCUSS BETTER SERVING AND JUDGE COMPETITIONS;
CRS (Client Relationship Summary) - RIA
Click below to view Sarah 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®
CFP®
Start date: 2008
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10250 Alliance Rd Ste 125, Cincinnati, OH 45242RIA
CRD#: 105644
CINCINNATI, OH
Current
January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 10250 Alliance Rd Ste 125, Cincinnati, OH 45242BD
CRD#: 10299
Cincinnati, OH
Past
September 28, 2005 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
CINCINNATI, OH
Past
July 17, 2003 - January 1, 2004
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
September 20, 2001 - May 15, 2003
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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(1/4/2016)
RR
Arizona(1/4/2016)
RR
California(7/11/2018)
RR
Colorado(3/24/2020)
RR
District of Columbia(9/18/2018)
RR
Florida(1/4/2010)
RR
Georgia(9/18/2018)
RR
Illinois(3/7/2019)
RR
Indiana(4/30/2020)
RR
Iowa(5/6/2019)
RR
Kentucky(1/1/2004)
RR
Louisiana(1/17/2023)
RR
Maryland(7/3/2013)
RR
Massachusetts(1/4/2016)
RR
Michigan(3/6/2020)
RR
Missouri(1/4/2010)
RR
Montana(8/19/2025)
RR
New Jersey(1/4/2016)
RR
New York(1/4/2010)
RR
North Carolina(7/16/2019)
RR
Ohio(1/1/2004)
IAR
Ohio(3/21/2024)
RR
Pennsylvania(4/24/2020)
RR
Rhode Island(9/3/2019)
RR
South Carolina(4/23/2019)
RR
Texas(1/4/2016)
IAR
Texas(3/21/2024)
RR
Virginia(1/3/2011)
RR
Wisconsin(7/12/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 105644Cincinnati, OH 45242TRUST BUT VERIFY
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