Stephen C. Cross
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 Chaillos Cross, who also goes by Steve Cross, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1971. Stephen had worked at 9 firms and has passed the Series 66, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2004 - August 9, 2019
CETERA INVESTMENT ADVISERS LLC
January 1, 2004 - August 9, 2019
CETERA FINANCIAL SPECIALISTS LLC
November 1, 2001 - January 1, 2004
CAPITAL BROKERAGE CORPORATION
December 7, 1998 - October 11, 2001
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 15, 1996 - December 13, 1996
WELLS FARGO SECURITIES INC.
April 28, 1993 - July 15, 1996
FIRST INTERSTATE INVESTMENTS,INC.
April 23, 1991 - July 15, 1991
MARKETING ONE SECURITIES, INC.
October 20, 1980 - September 25, 1991
EQUITABLE ADVISORS, LLC
March 10, 1971 - September 25, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 2/6/1971
Registered Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
