Stephanie L. Diaz

CETERA INVESTMENT ADVISERS LLC

CHARLOTTE, NC 28217

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CRD#: 6705682

Professional summary

Stephanie Leventis Diaz, who also goes by Stephanie Diaz, Stephanie Jean Leventis, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Charlotte, North Carolina and CETERA INVESTMENT SERVICES LLC located in Charlotte, North Carolina.

Stephanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Stephanie has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephanie Diaz | Stephanie Jean Leventis

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.

ENAGIC, SALES OF MEDICAL GRADE ALKALINE WATER IONIZATION SOLUTIONS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Leventis Diaz'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

June 19, 2019 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 5200 77 Center Drive Suite 330, Charlotte, NC 28217

RIA

CRD#: 105644

CHARLOTTE, NC

Current

June 20, 2019 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 5200 77 Center Drive Suite 330, Charlotte, NC 28217

CRD#: 15340

Charlotte, NC

Past

May 23, 2019 - June 20, 2019

FORESTERS ADVISORY SERVICES, LLC

RIA

CRD#: 164663

Charlotte, NC

Past

May 23, 2019 - June 20, 2019

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

CHARLOTTE, NC

Past

February 20, 2019 - April 23, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

February 20, 2019 - April 23, 2019

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

January 23, 2018 - February 11, 2019

FORESTERS ADVISORY SERVICES, LLC

RIA

CRD#: 164663

Charlotte, NC

Past

November 23, 2016 - February 11, 2019

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

CHARLOTTE, NC

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

IAR

North Carolina
(6/19/2019)

North Carolina
(6/21/2019)

South Carolina
(6/21/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/22/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/21/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/6/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/23/2016

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 2/23/2018

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/20/2017

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 1/25/2017

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

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Stephanie L. Diaz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Leventis Diaz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

FORESTERS ADVISORY SERVICES, LLC

FORESTERS FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FORESTERS ADVISORY SERVICES, LLC

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/22/2017

Series 63

Date: 12/21/2016

SIE

Date: 10/1/2018

Series 7

Date: 7/6/2017

Series 6

Date: 11/23/2016

Series 51

Date: 2/23/2018

Series 24

Date: 10/20/2017

Series 26

Date: 1/25/2017

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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