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Stephen R. Sharkey
CETERA INVESTMENT ADVISERS LLC
BLUE BELL, PA 19422
Some features on this profile are disabled
CRD#: 5369624
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Professional summary
Stephen Robert Sharkey JR, who also goes by Stephen Robert Sharkey, Steve Sharkey, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Blue Bell, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Blue Bell, Pennsylvania.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Stephen has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Robert Sharkey | Steve Sharkey
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: Independent Insurance Agent; Yes; 2100 Fairwold Lane; Ft. Washington; PA; 19034; Fixed Insurance Sales; Independent Insurance Agent; 10/10/2019; 160; 160; Sales of fixed insurance products 2. NAME OF ENTITY: Wissahickon Creek Advisors; Yes; 653 SKIPPACK PIKE STE 15A; BLUE BELL; PA; 19422; Financial Services/dba; Financial Advisor/Owner; 1/25/2021; 100; 100; Selling Securities, Insurance and Advisory Services 3. NAME OF OTHER BUSINESS: ONDIK SHARKEY INSURANCE GROUP; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA/SALE OF PROPERTY AND CASUALTY PRODUCTS AS WELL AS EMPLOYEE BENEFIT PRODUCTS; START DATE: 01/2014; POSITION/TITLE/RELATIONSHIP: PARTNER/OWNER; APX NUMBER OF HOURS PER WEEK: 15; APX NUMBER OF HOURS DURING TRADING HOURS: 15; BRIEF DESCRIPTION OF DUTIES: PARTNER/OWNS 75% OF EMPLOYEE BENEFITS BUSINESS;
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Robert Sharkey JR'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: 653 Skippack Pike Ste 15a, Blue Bell, PA 19422RIA
CRD#: 105644
BLUE BELL, PA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 653 Skippack Pike Ste 15a, Blue Bell, PA 19422BD
CRD#: 13572
Blue Bell, PA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
October 1, 2020 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
BLUE BELL, PA
Past
October 10, 2019 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BLUE BELL, PA
Past
July 17, 2007 - October 15, 2019
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
WAYNE, PA
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
California(6/9/2021)
RR
Delaware(6/9/2021)
RR
Florida(6/10/2021)
RR
Illinois(6/9/2021)
RR
New Jersey(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Pennsylvania(6/9/2021)
IAR
Pennsylvania(6/29/2023)
RR
South Carolina(1/5/2023)
RR
Tennessee(6/5/2024)
RR
Washington(11/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/29/2020
General Securities Representative ExaminationGeneral 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.
