BS
Brenden A. Stephenson
CETERA INVESTMENT ADVISERS LLC
WEST BRANCH, MI 48661
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CRD#: 6166362
BS
Professional summary
Brenden Arnold Stephenson, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Branch, Michigan and CETERA FINANCIAL SPECIALISTS LLC located in West Branch, Michigan.
Brenden is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Brenden has worked at 4 firms and has passed the Series 63, 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) NAME OF OTHER BUSINESS: OPTIMIST CLUB OF WEST BRANCH; INVESTMENT RELATED: NO; ADDRESS: 317 WEST HOUGHTON AVENUE, WEST BRANCH, MI 48661; NATURE OF BUSINESS: NON-PROFIT / COMMUNITY SERVICE PROGRAMS DEDICATED TO THE YOUTH OF THE COMMUNITY; START DATE: 01/2019; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: RUNNING WEEKLY CLUB MEETINGS AND OVERSIGHT OF MONTHLY BOARD MEETINGS; 2) NAME OF OTHER BUSINESS: STEPHENSON & COMPANY P.C.; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ACCOUNTING AND INCOME TAX PREPARATION; START DATE: 01/2017; POSITION/TITLE/RELATIONSHIP: CPA; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: PROVIDE BOOKKEEPING AND INCOME TAX PREPARATION SERVICES, INCLUDING PAYROLL; 3)NAME OF OTHER BUSINESS: NORTH CENTRAL MI COMMUNITY FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: 121 N 4TH ST, WEST BRANCH, MI 48661; NATURE OF BUSINESS: COMMUNITY FOUNDATION / CHARITABLE; START DATE: 08/2019; POSITION/TITLE/RELATIONSHIP: OGEMAW COUNTY COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: REVIEW GRANT APPLICATIONS AND MAKE RECOMMENDATIONS TO REGIONAL BOARD; 4) NAME OF OTHER BUSINESS: HURON COMMUNITY BANK, INVESTMENT RELATED: NO, ADDRESS: 301 NEWMAN ST., EAST TAWAS, MI, 48730, NATURE OF BUSINESS: BANK, START DATE: 02/2022, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: REVIEW AND APPROVE CORPORATE POLICIES. ENSURE THAT POLICIES ARE FOLLOWED;
CRS (Client Relationship Summary) - RIA
Click below to view Brenden Arnold Stephenson'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: 2013
Experience
Current
October 17, 2016 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 203 S Second St, West Branch, MI 48661RIA
CRD#: 105644
WEST BRANCH, MI
Current
October 17, 2016 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 203 S Second St, West Branch, MI 48661BD
CRD#: 10358
West Branch, MI
Past
February 11, 2014 - June 15, 2017
REHMANN WEALTH
RIA
CRD#: 123047
WEST BRANCH, MI
Past
November 14, 2013 - October 19, 2016
OSAIC WEALTH, INC.
BD
CRD#: 23131
WEST BRANCH, MI
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
Florida(1/3/2022)
RR
Indiana(1/2/2021)
RR
Michigan(10/17/2016)
IAR
Michigan(10/17/2016)
RR
Pennsylvania(2/16/2022)
RR
South Carolina(1/15/2025)
RR
Washington(7/24/2018)
RR
Wisconsin(8/8/2018)
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.
