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SL

Stephen Liscomb

Some features on this profile are disabled
CRD#: 5338475
SL

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 Liscomb, who also goes by Stephen Daniel Liscomb, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2007. Stephen had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 34, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen Daniel Liscomb

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 5, 2025 - November 28, 2025

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
EL SEGUNDO, CA
Past

April 2, 2025 - November 28, 2025

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

April 2, 2025 - November 28, 2025

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

April 2, 2025 - November 28, 2025

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL
Past

April 2, 2025 - November 28, 2025

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past

April 23, 2019 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Irving, TX
Past

April 22, 2019 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
BAILEY, CO
Past

December 10, 2014 - August 23, 2018

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
LEWISVILLE, TX
Past

April 5, 2013 - August 23, 2018

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
LEWISVILLE, TX
Past

April 13, 2009 - March 5, 2010

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
FORT WORTH, TX
Past

April 13, 2009 - January 11, 2013

TD AMERITRADE, INC.

RIA
CRD#: 7870
FORT WORTH, TX
Past

October 22, 2007 - January 11, 2013

TD AMERITRADE, INC.

BD
CRD#: 7870
FORT WORTH, TX

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/9/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/29/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/23/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 34
Date: 7/20/2012
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 3/8/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/2007
General Securities Representative Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644

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