SB
Steven C. Bromberg
CETERA INVESTMENT ADVISERS LLC
MOUNT KISCO, NY 10549
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CRD#: 4577338
SB
Professional summary
Steven Craig Bromberg is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mount Kisco, New York and CETERA WEALTH SERVICES, LLC located in Mount Kisco, New York.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Steven has worked at 5 firms and has passed the Series 63, SIE and Series 6 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) Fiduciary Appointment-Trustee~303 South Broadway, Suite 105~Tarrytown~NY~10591~9/16/2014~1hrs~0hrs~Pay the premiums for 2 life insurance policies that are owned by the trust 2) STEVEN C BROMBERG, CPA~126 HAZELTON CIRCLE~BRIARCLIFF MANOR~NY~10510-1307~Tax Preparation/Accounting~Owner/Sole Proprietor~9/1/2000~50hrs~10hrs~Owner, clerical, professional tax preparation and accounting services. 3) Dunphey & Associates Supply Company, Inc~9 Whippany Road - Unit D~Whippany~NJ~07981~Board Position/Officer~Other~12/18/2017~150hrs~130hrs~Head of accounting department; assume responsibility of accounting functions, and supervise accounting staff. Assist management with financial decision making. 4) DASCO Supply, LLC~9 Whippany Road - Building D~Whippany~NJ~07981~Board Position/Officer~Other~4/2/2019~150hrs~130hrs~In charge of accounting department. Analyze and report financial information of the business. Participate with management of entity to make financial decisions. 5) ROBERT SCHWARZENBEK 1999 IRREVOCABLE TRUST POSITION: Co-Trustee NATURE: Fiduciary Appointment INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/16/2014 ADDRESS: 118 N Bedford Rd - Suite 100, Mount Kisco NY 10549, United States DESCRIPTION: Pay the premiums for 2 life insurance policies that are owned by the trust 6) STEVEN C BROMBERG POSITION: OWNER NATURE: I am an owner of Standardbred Racehorses. These horses compete in races and earn purses depending how they finish in the race. I pay all of the expenses associated with the maintenance of these horses. INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 20 START DATE: 12/11/2023 ADDRESS: 126 Hazelton Circle, Briarcliff Manor NY 10510, United States DESCRIPTION: I discuss with the trainer which racehorses to purchase. I discuss the ability of the racehorses with the trainer and we make decisions on what class of race to compete in. I pay the trainer and driver and all other associated costs to maintain the horse including farrier costs, veterinarian costs, etc. I also visit to watch my horse compete. I discuss with the trainer when a racehorse may need to be sold.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Craig Bromberg'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
Office #1: 118 North Bedford Rd. Suite 100, Mount Kisco, NY 10549RIA
CRD#: 105644
MOUNT KISCO, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 118 North Bedford Road Suite 100, Mount Kisco, NY 10549BD
CRD#: 13572
Mount Kisco, NY
Past
August 24, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
MOUNT KISCO, NY
Past
March 26, 2003 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Mount Kisco, NY
Past
December 13, 2002 - March 27, 2003
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
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
Maryland(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
Exams
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.
