DS
David Stephan
CETERA INVESTMENT ADVISERS LLC
GRANDVILLE, MI 49418
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CRD#: 6583855
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Professional summary
David Stephan, who also goes by David Christian Stephan, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Grandville, Michigan and CETERA WEALTH SERVICES, LLC located in Grandville, Michigan.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. David has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Christian Stephan
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: STEPHAN ACCOUNTING & TAX, INC.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX & ACCOUNTING; START DATE: 02/2008; POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: VARIES BASED ON TIME OF YEAR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BASED ON TIME OF YEAR; BRIEF DESCRIPTION OF DUTIES: ACCOUNTING, TAX PREP, CONSULTING, PAYROLL, BOOKKEEPING; 2. NAME OF OTHER BUSINESS: SUMMIT FINANCIAL NETWORKS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 04/2020; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view David Stephan'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: 4120 Chicago Dr Sw Ste 4, Grandville, MI 49418RIA
CRD#: 105644
GRANDVILLE, MI
Current
April 29, 2020 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4120 Chicago Dr Sw Ste 4, Grandville, MI 49418BD
CRD#: 13572
Grandville, MI
Past
March 23, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
May 21, 2020 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
GRANDVILLE, MI
Past
August 24, 2018 - April 30, 2020
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Grand Rapids, MI
Past
February 23, 2016 - April 30, 2020
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Grand Rapids, 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
Alabama(4/9/2024)
RR
Alaska(8/16/2024)
RR
Arizona(8/19/2021)
RR
Arkansas(4/15/2024)
RR
Colorado(3/5/2024)
RR
Florida(4/27/2022)
RR
Georgia(4/30/2020)
RR
Idaho(4/1/2022)
RR
Indiana(5/11/2020)
RR
Kansas(10/20/2023)
RR
Maryland(4/1/2022)
RR
Michigan(5/8/2020)
IAR
Michigan(6/29/2023)
RR
Minnesota(6/20/2025)
RR
Nebraska(8/16/2024)
RR
New York(6/28/2025)
RR
Ohio(6/20/2025)
RR
Oklahoma(2/24/2025)
RR
Pennsylvania(3/31/2022)
RR
Tennessee(9/29/2023)
RR
Texas(2/24/2025)
IAR
Texas(2/24/2025)
RR
Utah(6/23/2025)
RR
Washington(4/22/2024)
RR
Wisconsin(6/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/12/2019
General Securities Representative ExaminationGeneral 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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Grandville, MI 49418TRUST BUT VERIFY
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