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Steven E. Schroll
CETERA INVESTMENT ADVISERS LLC
HARTVILLE, OH 44632
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CRD#: 5577166
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Professional summary
Steven Eric Schroll, CFP®, ChFC®, who also goes by S. Eric Schroll, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hartville, Ohio and CETERA WEALTH SERVICES, LLC located in Hartville, Ohio.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Steven has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
S. Eric Schroll
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.
(dba) EVERENCE; Investment Related; 1221 West Maple Street, Hartville, OH 44632; Financial and Insurance Services; Financial Planner; Start 01/2012; 100 hours per month with 60 of those hours occurring during trading hours; As an employee of Everence, I provide investment and financial planning services through Everence Trust Company, insurance (med-supp, fixed annuities, life insurance, long-term care insurance) and charitable planning services through Everence Foundation. Products and services offered through Everence Trust Company and other Everence entities are independent of and are not guaranteed or endorsed by Concourse Financial Group Securities, Inc., or its affiliates. >> LAKE CENTER CHRISTIAN SCHOOL; Non-Investment Related; 12893 Kaufman Avenue NW, Hartville, OH 44632; Education; Teacher and Bus Driver; Start Date 01/2011; Hours are outside of trading hours; Teach one class/day - High School - Personal Finance; Drive school bus for athletic contests and some field trips. >> POA; Non-Investment Related; Uniontown, OH; Other; Power of Attorney (POA); Start Date 11/2023; 4 hours per month with no hours per month occurring during trading hours; I hold durable power of attorney for my mother - I help her pay bills and manage her finances. >> ONE RESOURCE GROUP; Investment Related; Roanoke, IN: Insurance; Financial Planner; Start Date 02/2012; 6 hours per month with those 6 hours per month occurring during trading hours; Sales and service of life and fixed annuity insurance products.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Eric Schroll'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®
CFP®
Start date: 2012
Experience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1221 West Maple Street Suite 200, Hartville, OH 44632RIA
CRD#: 105644
HARTVILLE, OH
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1221 West Maple Street Suite 200, Hartville, OH 44632BD
CRD#: 13572
Hartville, OH
Past
December 4, 2009 - September 30, 2019
EVERENCE TRUST COMPANY
RIA
CRD#: 113179
HARTVILLE, OH
Past
January 2, 2009 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Hartville, OH
Past
August 19, 2008 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Hartville, OH
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(2/20/2025)
RR
California(2/20/2025)
RR
Colorado(2/20/2025)
RR
Florida(2/20/2025)
RR
Idaho(2/20/2025)
RR
Indiana(2/20/2025)
RR
Michigan(2/20/2025)
RR
North Carolina(2/20/2025)
RR
Ohio(2/20/2025)
IAR
Ohio(2/20/2025)
RR
South Carolina(2/20/2025)
RR
Virginia(2/20/2025)
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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Hartville, OH 44632TRUST BUT VERIFY
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