Steven R. Johnson
CETERA INVESTMENT ADVISERS LLC
MANDEVILLE, LA 70471
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CRD#: 4622036
Professional summary
Steven Ross Johnson MR., CFP®, who also goes by Steven Ross Johnson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mandeville, Louisiana and CETERA FINANCIAL SPECIALISTS LLC located in Mandeville, Louisiana.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Steven has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven Ross Johnson
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) JOHNSON FINANCIAL, LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, MANAGING MEMBER AND ENROLLED AGENT, TAX PREPARATION SERVICES/PRACTICE, PREPARES PERSONAL BUSINESS AND NON-PROFIT TAX RETURNS, DBA FOR INVESTMENT BUSINESS, FINANCIAL PROFESSIONAL, 40H/WEEK, SINCE 01/2007 2) RENTAL PROPERTY, INVESTMENT RELATED, SANTA ROSA BEACH, FL, OWNER, SHORT TERM VACATION RENTAL PROPERTY, 2H/WEEK, SINCE 08/2020
CRS (Client Relationship Summary) - RIA
Click below to view Steven Ross Johnson MR.'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: 2014
Experience
Current
August 18, 2021 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1127 N Causeway Blvd Suite B, Mandeville, LA 70471RIA
CRD#: 105644
MANDEVILLE, LA
Current
August 18, 2021 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 1127 N Causeway Blvd Suite B, Mandeville, LA 70471BD
CRD#: 10358
MANDEVILLE, LA
Past
February 1, 2007 - August 23, 2021
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
FORT COLLINS, CO
Past
February 5, 2003 - August 23, 2021
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Mandeville, LA
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(8/18/2021)
RR
Arizona(8/18/2021)
RR
Arkansas(8/18/2021)
RR
California(8/18/2021)
RR
Colorado(8/18/2021)
RR
Connecticut(8/7/2023)
RR
Delaware(9/15/2023)
RR
District of Columbia(8/18/2021)
RR
Florida(8/18/2021)
RR
Georgia(8/18/2021)
RR
Idaho(8/18/2021)
RR
Indiana(8/18/2021)
RR
Louisiana(8/18/2021)
IAR
Louisiana(8/18/2021)
RR
Maryland(8/18/2021)
RR
Massachusetts(8/18/2021)
RR
Michigan(8/18/2021)
RR
Minnesota(6/23/2025)
RR
Mississippi(8/18/2021)
RR
Missouri(8/18/2021)
RR
Nevada(8/18/2021)
RR
New Mexico(8/18/2021)
RR
New York(8/18/2021)
RR
North Carolina(8/24/2021)
RR
Ohio(8/18/2021)
RR
Oklahoma(8/18/2021)
RR
Oregon(8/15/2024)
RR
Pennsylvania(8/18/2021)
RR
Rhode Island(8/18/2021)
RR
South Carolina(8/18/2021)
RR
Tennessee(3/31/2025)
RR
Texas(8/18/2021)
IAR
Texas(8/18/2021)
RR
Utah(8/18/2021)
RR
Washington(8/18/2021)
RR
Wyoming(8/18/2021)
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
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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#: 105644Mandeville, LA 70471TRUST BUT VERIFY
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