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SK

Stephen C. Koehler

CETERA INVESTMENT ADVISERS
Johns Creek, GA 30022
Some features on this profile are disabled
CRD#: 6320356
SK

Professional summary

Stephen Carl Koehler, who also goes by Stephen Koehler, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Johns Creek, Georgia and CETERA WEALTH SERVICES, LLC located in Johns Creek, Georgia.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Stephen has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Stephen Koehler

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Carl Koehler's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 23, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 11138 State Bridge Rd., Suite 125, Johns Creek, GA 30022
RIA
CRD#: 105644
Johns Creek, GA
Current

October 21, 2024 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 11138 State Bridge Road Suite 125, Johns Creek, GA 30022
BD
CRD#: 13572
Johns Creek, GA
Past

October 18, 2018 - October 23, 2024

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
JOHNS CREEK, GA
Past

October 17, 2018 - October 23, 2024

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
JOHNS CREEK, GA
Past

June 13, 2017 - October 3, 2018

EDWARD JONES

RIA
CRD#: 250
ROSWELL, GA
Past

May 3, 2017 - October 3, 2018

EDWARD JONES

BD
CRD#: 250
ROSWELL, GA
Past

November 12, 2015 - February 16, 2017

COUNTRY CAPITAL MANAGEMENT COMPANY

BD
CRD#: 12060
MILTON, GA
Past

June 11, 2014 - November 9, 2015

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
Alpharetta, GA

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
(10/21/2024)
RR
Georgia
(10/21/2024)
IAR
Georgia
(10/23/2024)
RR
Louisiana
(6/16/2025)
RR
Pennsylvania
(10/21/2024)
RR
Virginia
(11/10/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/11/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/23/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/23/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/11/2014
Investment Company Products/Variable Contracts Representative Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Johns Creek, GA 30022

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