KS
Kevan A. Stapleton
CETERA INVESTMENT ADVISERS LLC
SPRINGFIELD, IL 62701
Some features on this profile are disabled
CRD#: 6835913
KS
Professional summary
Kevan Alan Stapleton, who also goes by Keva Stapleton, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Springfield, Illinois and CETERA WEALTH SERVICES, LLC located in Springfield, Illinois.
Kevan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Kevan has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Keva Stapleton
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) ESP WEALTH MANAGEMENT, LLC POSITION: Referring Financial Advisor NATURE: Assist clients with wealth management needs INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/01/2017 ADDRESS: 227 South Seventh Street, Springfield IL 62701, United States DESCRIPTION: Answer questions related to wealth management 2) OLD CAPITOL BLUES & BBQ, LLC POSITION: LLC Member NATURE: Operate a street festival featuring blues bands and bbq vendors INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2016 ADDRESS: 2208 Chatham Road, Springfield IL 62704, United States DESCRIPTION: Sale of tickets during the 2-day event and maintenance of accounting records for the entity 3) ECK, SCHAFER & PUNKE, LLP POSITION: Partner NATURE: Accounting & Tax Firm associated with Wealth Management Firm INVESTMENT RELATED: No NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2022 ADDRESS: 227 South Seventh Street, Springfield IL 62701, United States DESCRIPTION: Partner 4) ESP PROPERTIES II LLC POSITION: LLC Member NATURE: Entity owns the first floor of the two-story office building occupied by Eck, Schafer & Punke, LLP (accounting firm). Once build-out is complete, the accounting firm will expand its operations to the first floor. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 07/18/2024 ADDRESS: 227 South Seventh Street, Springfield IL 62701, United States DESCRIPTION: Property management
CRS (Client Relationship Summary) - RIA
Click below to view Kevan Alan Stapleton'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 227 South Seventh Street, Springfield, IL 62701RIA
CRD#: 105644
SPRINGFIELD, IL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 227 South Seventh Street, Springfield, IL 62701BD
CRD#: 13572
SPRINGFIELD, IL
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
SPRINGFIELD, IL
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
SPRINGFIELD, IL
Past
November 29, 2017 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
Springfield, IL
Past
November 1, 2017 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
SPRINGFIELD, IL
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
Alaska(9/5/2025)
RR
Illinois(9/5/2025)
IAR
Illinois(9/5/2025)
RR
Ohio(9/5/2025)
RR
Oregon(9/5/2025)
RR
Wisconsin(9/5/2025)
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
