SG
Stephen T. Gustman
CETERA INVESTMENT ADVISERS
MARINETTE, WI 54143
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CRD#: 5980387
SG
Stephen Thomas GustmanCETERA INVESTMENT ADVISERS
Professional summary
Stephen Thomas Gustman, who also goes by Stephen Gustman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Marinette, Wisconsin and CETERA WEALTH SERVICES, LLC located in Marinette, Wisconsin.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Stephen has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Stephen Gustman
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: NORTH STAR HEALTH CARE SUBSIDIARY LLC; No; W1718 RIVER OAKS DR PO BOX 773; PO BOX 773; WI; 54143; COMMERCIAL BUILDING; OWNER; 2/8/2016; 1; 0; RENTING MEDICAL OFFICE BUILDING| 2) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 2033 MARINETTE AVE; MARINETTE; WI; 54143; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 10/12/2011; 160; 160; SALE OF FIXED INSURANCE PRODUCTS| 3) NAME OF ENTITY: Great Lakes Financial Management Group, Inc; Yes; 2033 MARINETTE AVE; MARINETTE; WI; 54143; DBA; agent; 6/21/2012; 160; 160; sales and service of fixed insurance products; marketing entity for financial services business| 4) NAME OF ENTITY: NORTH STAR HEALTH CARE PROPERTIES LLC; No; W1718 RIVER OAKS DR PO BOX 773; PO BOX 773; WI; 54143; LLC; OWNER; 2/8/2016; 1; 0; LEASING OF BUILDING| 5) NAME OF ENTITY: Independent Insurance Agent; Yes; 2023 MARINETTE AVE; MARINETTE; WI; 54143; Fixed Insurance Sales; Independent Insurance Agent; 10/12/2011; 160; 160; Sales of fixed insurance| 6) NAME OF OTHER BUSINESS: GUSTMAN REAL ESTATE RENTALS; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: RENTAL PORPERTIES; START DATE: 03/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MANAGE THE OWNERSHIP OF VARIOUS RENTAL PROPERTIES; 7) NAME OF OTHER BUSINESS: NSHCP SUB 3 LLC; INVESTMENT RELATED: NO; ADDRESS: W1718 RIVER OAKS DRIVE PO BOX 773 MARINETTE, WI 54143; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 11/2025; POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MANAGE PAPERWORK, ACCOUNTING OF FUNDS RESULTING FROM THE PURCHASE OF VARIOUS DST'S THE LLC WILL ACQUIRE TO FACILITATE A 1031 EXCHANGE;
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Thomas Gustman'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: 2033 Marinette Ave, Marinette, WI 54143RIA
CRD#: 105644
MARINETTE, WI
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2033 Marinette Ave, Marinette, WI 54143BD
CRD#: 13572
MARINETTE, WI
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
April 19, 2012 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
MARINETTE, WI
Past
February 13, 2012 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
MARINETTE, WI
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
Illinois(6/9/2021)
RR
Michigan(6/9/2021)
RR
Wisconsin(6/9/2021)
IAR
Wisconsin(6/29/2023)
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)Loading...
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 |
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.
