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SB

Stephen W. Bowman

CETERA INVESTMENT ADVISERS LLC
Rice Lake, WI 54868
Some features on this profile are disabled
CRD#: 4437203
SB

Professional summary

Stephen Wayne Bowman, CFP®, ChFC®, CLU®, who also goes by Steve Bowman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rice Lake, Wisconsin and CETERA ADVISORS LLC located in Rice Lake, Wisconsin.

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 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?
Comprehensive Financial Planni...
Insurance Planning
Retirement Planning
Investment Planning
What is your minimum asset requirement?
1
Are you a "fiduciary"?
Yes

Aliases

Steve Bowman

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Wayne Bowman's CRS (Customer Relationship Summary).
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®

Certified Financial Planner

Start date: 2004

ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Current

December 15, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 515 N Main St, Rice Lake, WI 54868
RIA
CRD#: 105644
Rice Lake, WI
Current

December 15, 2025 - Present

CETERA ADVISORS LLC

Office #1: 515 N Main St, Rice Lake, WI 54868
BD
CRD#: 10299
RICE LAKE, WI
Past

July 23, 2019 - December 22, 2021

WEALTH MANAGEMENT GROUP, LLC

RIA
CRD#: 173629
Rice Lake, WI
Past

January 9, 2015 - December 31, 2018

WEALTH MANAGEMENT GROUP, LLC

RIA
CRD#: 173629
CUMBERLAND, WI
Past

May 30, 2014 - December 18, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
RICE LAKE, WI
Past

May 30, 2014 - December 18, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
RICE LAKE, WI
Past

April 6, 2004 - July 10, 2014

B&E INVESTMENT ADVISERS, INC.

RIA
CRD#: 129374
RICE LAKE, WI
Past

February 10, 2003 - June 6, 2014

VALMARK SECURITIES, INC.

BD
CRD#: 31243
RICE LAKE, WI
Past

September 7, 2001 - March 5, 2003

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, 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
Colorado
(12/15/2025)
RR
Florida
(12/15/2025)
RR
Indiana
(12/15/2025)
RR
Minnesota
(12/15/2025)
RR
North Carolina
(12/18/2025)
RR
Wisconsin
(12/15/2025)
IAR
Wisconsin
(12/15/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/9/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/10/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/6/2001
General Securities Representative Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Rice Lake, WI 54868

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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