Cole Stephens

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Contact Information

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Disclosures on record.

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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Years of Experience

7 years registered in the securities industry

Current & Past Employments

Current

CETERA INVESTMENT ADVISERS LLCCurrent·CRD# 105644

RIA

1. 2501 S Dye Road Suite D, Flint, MI 485322. 522 S Main St, Frankenmuth, MI 48734

July 26, 2024 - Present

CETERA ADVISORS LLCCurrent·CRD# 10299

BD

1. 2501 S Dye Road Suite D, Flint, MI 485322. 522 S. Main Street, Frankenmuth, MI 48734

July 26, 2024 - Present

Past

HANTZ FINANCIAL SERVICES, INC.Past·CRD# 46047

RIA

Bay City, MI

March 3, 2020 - July 3, 2024

HANTZ FINANCIAL SERVICES, INC.Past·CRD# 46047

BD

Bay City, MI

January 6, 2020 - July 3, 2024

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Current Firm

CI

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - SEC (1/13/1984 Approved)

Contact Information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Phone Number

(310) 257-7880

# of Employees

10,251

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

813,961

AUM (Assets Under Management)

$256,813,748,739

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2026	Cover Page	Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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 INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 07/2024 APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: 15 POSITION/TITLE/RELATIONSHIP: LIFE & HEALTH AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: RUMMEL WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE START DATE: 07/2024 APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: OFFER FINANCIAL SERVICES TO CLIENTS; 3. NAME OF OTHER BUSINESS: RUMMEL BENEFITS GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: LIFE & HEALTH AGENT START DATE: 07/2024 APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: 15 BRIEF DESCRIPTION OF DUTIES: PROVIDING INSURANCE OFFERINGS TO CLIENTS. 4. NAME OF OTHER BUSINESS: VILLAGE OF REESE INVESTMENT RELATED: NO ADDRESS: 2073 GATES ST, REESE MI 48757 NATURE OF BUSINESS: PLANNING COMMISSION START DATE: 3/3/2026 POSITION/TITLE/RELATIONSHIP: MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: ASSIST WITH PLANNING CONCERNING ECONOMICS, DEVELOPMENT, AND ORDINANCES.

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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

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - SEC (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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arizona
(5/18/2026)

RR

California
(10/3/2024)

RR

Florida
(7/26/2024)

RR

Georgia
(10/3/2024)

RR

Illinois
(7/26/2024)

RR

Indiana
(10/3/2024)

RR

Kentucky
(10/3/2024)

RR

Louisiana
(10/3/2024)

RR

Michigan
(7/26/2024)

IAR

Michigan
(7/26/2024)

RR

Minnesota
(10/3/2024)

RR

North Carolina
(10/7/2024)

RR

Ohio
(7/29/2024)

RR

Oregon
(10/3/2024)

RR

South Carolina
(10/3/2024)

RR

Texas
(7/26/2024)

IAR

Texas
(7/26/2024)

RR

Wisconsin
(7/26/2024)

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.