Stephen C. Massengale

CETERA INVESTMENT ADVISERS LLC

BIRMINGHAM, AL

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CRD#: 4644583

Professional summary

Stephen Craig Massengale is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Birmingham, Alabama and CETERA INVESTMENT SERVICES LLC located in Atlanta, Georgia.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Stephen has worked at 12 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Craig Massengale'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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

BIRMINGHAM, AL

Current

November 23, 2015 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339

CRD#: 15340

Atlanta, GA

Current

November 23, 2015 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

El Segundo, CA

Current

November 23, 2015 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339

CRD#: 10358

Atlanta, GA

Current

November 23, 2015 - Present

CETERA ADVISORS LLC

Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339

CRD#: 10299

Atlanta, GA

Past

January 26, 2016 - November 9, 2016

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

Past

January 26, 2016 - November 9, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

January 26, 2016 - December 14, 2016

LEGEND EQUITIES CORPORATION

CRD#: 30999

PALM BEACH GARDENS, FL

Past

January 26, 2016 - November 2, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

SAN DIEGO, CA

Past

January 26, 2016 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

BOCA RATON, FL

Past

January 26, 2016 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

November 23, 2015 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

January 7, 2013 - November 19, 2015

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

BIRMINGHAM, AL

Past

January 7, 2013 - November 19, 2015

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

September 19, 2006 - December 13, 2012

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

BIRMINGHAM, AL

Past

April 7, 2003 - December 13, 2012

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(11/23/2015)

IAR

Alabama
(6/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/12/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/25/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/4/2003

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/9/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

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Stephen C. Massengale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Craig Massengale's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

VSR FINANCIAL SERVICES, INC.

INVESTORS CAPITAL CORP.

LEGEND EQUITIES CORPORATION

GIRARD SECURITIES, INC.

SUMMIT BROKERAGE SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/12/2006

Series 63

Date: 4/25/2003

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/20/2006

Series 6

Date: 4/4/2003

Series 24

Date: 8/9/2006

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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