Sarah Stephenson
Professional summary
Sarah Stephenson, who also goes by Sarah Nichole Brown, Sarah Nicole Brown, Sarah Brown Stephenson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Petersonberg, Florida and CETERA INVESTMENT SERVICES LLC located in El Segundo, California.
Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Sarah has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sarah Stephenson's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 4, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
October 14, 2021 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245October 14, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245October 14, 2021 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245October 14, 2021 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245October 15, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
October 14, 2021 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
October 30, 2020 - October 4, 2021
RAYMOND JAMES & ASSOCIATES, INC.
August 22, 2017 - October 4, 2021
RAYMOND JAMES & ASSOCIATES, INC.
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
(10/14/2021)
(10/14/2021)
(5/4/2023)
Exams
FINRA
Current 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.
