Stephen O. Hardig
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Owen Hardig, who also goes by Stephen O. Harding, Stephen Owen Harding, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2005. Stephen had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2017 - June 13, 2019
CETERA INVESTMENT ADVISERS LLC
March 17, 2017 - June 13, 2019
CETERA INVESTMENT SERVICES LLC
April 29, 2009 - March 20, 2017
SECURITIES AMERICA ADVISORS, INC.
April 29, 2009 - March 20, 2017
SECURITIES AMERICA, INC.
February 21, 2006 - May 12, 2009
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - May 12, 2009
CITIGROUP GLOBAL MARKETS INC.
August 29, 2005 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
July 18, 2005 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
