Steven M. Filanowicz

CETERA INVESTMENT ADVISERS LLC

ENFIELD, CT

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CRD#: 4990634

Professional summary

Steven Mark Filanowicz, who also goes by Steven Filanowicz, Steven Mark Filanowicz, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Enfield, Connecticut and CETERA WEALTH SERVICES, LLC located in Enfield, Connecticut.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Steven has worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven Filanowicz | Steven Mark Filanowicz

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 OTHER BUSINESS: ENFIELD RECREATION DEPT; INVESTMENT RELATED: NO; ADDRESS: 124 NORTH MAPLE ST ENFIELD, CT 06082; NATURE OF BUSINESS: YOUTH COACH; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: ASSISTANT BASKETBALL COACH; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: VOLUNTEER ASSISTANT YOUTH BASKETBALL COACH;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mark Filanowicz'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

ENFIELD, CT

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1699 King St Suite 402, Enfield, CT 06082

CRD#: 13572

Enfield, CT

Past

December 12, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

September 22, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

February 12, 2018 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

October 3, 2017 - January 30, 2018

OSAIC INSTITUTIONS, INC.

CRD#: 35371

MERIDEN, CT

Past

September 19, 2013 - September 29, 2017

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

January 4, 2011 - September 19, 2013

DIRECTED SERVICES LLC

CRD#: 21675

WINDSOR, CT

Past

July 11, 2005 - November 29, 2010

DIRECTED SERVICES LLC

CRD#: 21675

WINDSOR, CT

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

Connecticut
(6/9/2021)

IAR

Connecticut
(6/29/2023)

Massachusetts
(1/4/2023)

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: 9/20/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/25/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 10/25/2021

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/15/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/8/2005

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 4

Date: 8/2/2022

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 11/5/2021

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/30/2014

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 9/24/2010

Investment Company Products/Variable Contracts 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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Firm Stability Insights

Steven M. Filanowicz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mark Filanowicz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX INVESTMENT SERVICES, INC.

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

OSAIC INSTITUTIONS, INC.

VOYA FINANCIAL ADVISORS, INC.

DIRECTED SERVICES LLC

DIRECTED SERVICES LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/2021

Series 63

Date: 1/25/2010

Series 52TO

Date: 10/25/2021

SIE

Date: 10/1/2018

Series 7

Date: 11/15/2013

Series 6

Date: 7/8/2005

Series 4

Date: 8/2/2022

Series 53

Date: 11/5/2021

Series 24

Date: 4/30/2014

Series 26

Date: 9/24/2010

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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