SL
Stephen W. Lewis
CETERA INVESTMENT ADVISERS LLC
ROSEVILLE, MN
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CRD#: 5531919
SL
Professional summary
Stephen Wayne Lewis is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Roseville, Minnesota and CETERA ADVISORS LLC located in Roseville, Minnesota.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Stephen has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE 11/2011, INSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: 25, APX NUMBER OF HOURS DURING TRADING HOURS: 20, SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE; 2. PREMIER WEALTH MANAGEMENT GROUP, LLC, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 07/2012, FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 3. PHYSICIANS FINANCIAL ADVISOR, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 10/2016, FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 5, DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 4. STEPHEN LEWIS & ASSOCIATES, LLC, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, LLC, STARTED 10/2016, POSITION/TITLE/RELATIONSHIP: OWNER, APX5 HOURS PER WEEK, DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: BUSINESS ENTITY FOR ACCOUNTING PURPOSES. 5. NAME OF OTHER BUSINESS: STEPHEN WAYNE ENTERPRISES, LLC ; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: MUSIC PERFORMANCE & EDUCATION; START DATE 12/2022; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: 6 ; APX NUMBER OF HOURS DURING TRADING HOURS: 6 ; BRIEF DESCRIPTION OF DUTIES: PERFORM, COMMUNITY AND CHURCH CHOIRS, TEACH MUSIC: 6. NAME OF OTHER BUSINESS: LUTHERAN CHURCH OF THE RESURRECTION COUNCIL; INVESTMENT RELATED: NO; ADDRESS: 894 BRENNER AVE, ROSEVILLE, MN, 55113; NATURE OF BUSINESS: BOARD; START DATE: 3/2025; POSITION/TITLE/RELATIONSHIP: CHURCH COUNCIL MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ASSIST WITH THE LEADERSHIP AND OPERATIONS OF THE CHURCH;
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Wayne Lewis'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 2150 3rd St, White Bear Lake, MN 55110RIA
CRD#: 105644
ROSEVILLE, MN
Current
December 9, 2020 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Roseville, MN
Past
December 10, 2020 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
ALBUQUERQUE, NM
Past
June 12, 2014 - December 9, 2020
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
Albuquerque, NM
Past
December 19, 2013 - December 9, 2020
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
Albuquerque, NM
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(12/9/2020)
RR
Colorado(12/9/2020)
RR
Florida(12/9/2020)
RR
Idaho(12/9/2020)
RR
Illinois(1/3/2024)
RR
Iowa(12/9/2020)
RR
Kansas(12/9/2020)
RR
Massachusetts(2/19/2021)
RR
Minnesota(12/13/2022)
IAR
Minnesota(3/21/2024)
RR
Nevada(2/19/2021)
RR
New Mexico(12/9/2020)
RR
North Carolina(1/6/2021)
RR
Ohio(7/16/2024)
RR
Oregon(12/9/2020)
RR
Texas(2/19/2021)
IAR
Texas(3/21/2024)
RR
Washington(12/10/2020)
Exams
State Security Law 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.
