SK
Stephen C. Koehler
CETERA INVESTMENT ADVISERS LLC
Johns Creek, GA 30022
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CRD#: 6320356
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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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 2/2014 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: ALPHARETTA BUSINESS ASSOCIATION INVESTMENT RELATED: NO ADDRESS: 11770 HAYNES BRIDGE RD., ALPHARETTA, GA 30009 NATURE OF BUSINESS: BOARD FIDUCIARY POSITION START DATE: 1/2021 POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: VOTING MEMBER OF THE BOARD, VOLUNTEER FOR FUND RAISING EVENTS, LEAD TWO OTHER BOARD MEMBERS IN EFFORT TO CREATE LUNCH AND LEARNS, WORKSHOPS THAT ARE OF INTEREST TO ALPHARETTA NEIGHBORS AND BUSINESS OWNERS. WE ARE A NON-PROFIT BUSINESS ASSOCIATION SERVING THE ALPHARETTA COMMUNITY FOR 30 YEARS. SERVE AS A COMMITTEE MEMBER ON THE FARMERS MARKET COMMITTEE; 3. NAME OF OTHER BUSINESS: JOHNS CREEK ADVISORS INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 10/2018 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: LIFE INSURANCE SALES; 4. NAME OF OTHER BUSINESS: BUSINESS NETWORKING INTERNATIONAL; INVESTMENT RELATED: NO, ADDRESS: 5750 WINDWARD PKWY ALPHARETTA, GA 30005, NATURE OF BUSINESS: BUSINESS NETWORKING, START DATE: 10/2025, POSITION/TITLE/RELATIONSHIP: MEMBER, APX NUMBER OF HOURS PER WEEK: 4, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: MEMBERSHIP COMMITTEE, QUALITY ASSURANCE, INTERVIEW PROSPECTIVE APPLICANTS FOR ADMISSION TO OUR CHAPTER;
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Carl Koehler'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
October 23, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 11138 State Bridge Rd., Suite 125, Johns Creek, GA 30022RIA
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 30022BD
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)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
