SL
Steven A. Leach
CETERA INVESTMENT ADVISERS LLC
BEAUMONT, CA 92223
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CRD#: 4715516
SL
Professional summary
Steven Andrew Leach, who also goes by Steven Leach, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Beaumont, California and CETERA WEALTH SERVICES, LLC located in Beaumont, California.
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 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven Leach
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 ENTITY: Partners Advantage; Yes; 944 VIA LATA; COLTEN; CA; 92324; Fixed Insurance submissions; Insurance Agent; 1/1/2011; 0; 0; Insurance Agent; 2. NAME OF ENTITY: Paychex; No; 726 BEAUMONT AVE; BEAUMONT; CA; 92223; 401(k) Plans; Independent agent; 8/9/2011; 4; 4; Providing 401(k) support and registration services for new and existing plans; 3. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 726 BEAUMONT AVE; BEAUMONT; CA; 92223; Fixed Insurance Sales; Independent Insurance Agent; 2/7/2011; 160; 160; Sales of fixed insurance; 4. NAME OF ENTITY: Sensible Adviser; Yes; 726 Beaumont Ave; Beaumont; CA; 92223; Financial Services/dba; Owner; 4/1/2021; 120; 6; SALE AND SERVICE INSURANCE, SECURITIES AND INVESTMENT PRODUCTS; 5. NAME OF OTHER BUSINESS: THE GRIEF RECOVERY METHOD; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: GRIEF RECOVERY; START DATE: 11/2025; POSITION/TITLE/RELATIONSHIP: GRIEF RECOVERY SPECIALIST; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PEER-TO-PEER INDIVIDUALIZED PER SESSION WORK WITH PEOPLE GRIEVING SOME LOSS OR CUMULATIVE LOSSES IN THEIR LIFE/LIVES;
CRS (Client Relationship Summary) - RIA
Click below to view Steven Andrew Leach'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 726 Beaumont Ave, Beaumont, CA 92223RIA
CRD#: 105644
BEAUMONT, CA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 726 Beaumont Ave, Beaumont, CA 92223BD
CRD#: 13572
Beaumont, CA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 29, 2011 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
BEAUMONT, CA
Past
February 7, 2011 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BEAUMONT, CA
Past
August 12, 2008 - January 12, 2011
WADDELL & REED
RIA
CRD#: 866
RIVERSIDE, CA
Past
July 31, 2008 - January 12, 2011
WADDELL & REED
BD
CRD#: 866
RIVERSIDE, CA
Past
November 13, 2003 - July 25, 2008
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
Arizona(6/9/2021)
RR
California(6/9/2021)
IAR
California(6/29/2023)
RR
Colorado(6/9/2021)
RR
Florida(6/10/2021)
RR
Hawaii(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Oregon(6/9/2021)
RR
Washington(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
