SM
Steven E. Mims
CETERA INVESTMENT ADVISERS LLC
EUGENE, OR
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CRD#: 7235174
SM
Professional summary
Steven Edward Mims is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Eugene, Oregon and CETERA WEALTH SERVICES, LLC located in Eugene, Oregon.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Steven has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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: TIDEPOOL WEALTH STRATEGIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL AND INSURANCE SERVICES; 2. NAME OF OTHER BUSINESS: ASSOCIATED PRESS ; INVESTMENT RELATED: NO; ADDRESS: 200 LIBERTY STREET NEW YORK, NY 10281; NATURE OF BUSINESS: SPORTS REPORTING; START DATE: 11/2022; POSITION/TITLE/RELATIONSHIP: FREELANCE WRITER; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; BRIEF DESCRIPTION OF DUTIES: SPORTS FREELANCE WRITER REPORTING ON UNIVERSITY OF OREGON BASKETBALL GAMES; 3. NAME OF OTHER BUSINESS: UNIVERSITY OF OREGON; INVESTMENT RELATED: NO; ADDRESS: 1585 E. 13TH EUGENE, OR 97403; NATURE OF BUSINESS: TEACHING; START DATE: 01/2023; POSITION/TITLE/RELATIONSHIP: TEACHER; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: TEACHING A JOURNALISM COURSE; 4. NAME OF OTHER BUSINESS: SPRINGFIELD DRIFTERS ; INVESTMENT RELATED: NO; ADDRESS: 2345 LAURA ST SPRINGFIELD, OR 97477; NATURE OF BUSINESS: FREELANCE WRITING; START DATE: 03/2023; POSITION/TITLE/RELATIONSHIP: FREELANCE WRITER; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: WRITE FREELANCE STORIES ABOUT LOCAL BASEBALL TEAM FOR WEBSITE 5. NAME OF OTHER BUSINESS: PACIFIC NORTHWEST GOLF ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 3401 S 19TH ST. SUITE 200 TACOMA, WA 98405; NATURE OF BUSINESS: SPORTS WRITING; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: SPORTS WRITER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES:WRITE AN OCCASIONAL STORY ON GOLF FOR MAGAZINE; 6. NAME OF OTHER BUSINESS: KORE RADIO, INVESTMENT RELATED: NO, ADDRESS: 1144 WILLAGILLESPIE RD. NO34, EUGENE, OR 97401, NATURE OF BUSINESS: RADIO STATION, START DATE: 10/2024, POSITION/TITLE/RELATIONSHIP: GUEST HOST, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: FILLING IN AS GUEST HOST OF A LOCAL SPORTS TALK RADIO SHOW WHEN THE REGULAR HOST;
CRS (Client Relationship Summary) - RIA
Click below to view Steven Edward Mims'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
RIA
CRD#: 105644
EUGENE, OR
Current
April 12, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 450 Country Club Rd Ste 350, Eugene, OR 97401BD
CRD#: 13572
Eugene, OR
Past
May 15, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
September 24, 2021 - April 15, 2022
NYLIFE SECURITIES LLC
BD
CRD#: 5167
PORTLAND, OR
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
Arizona(2/4/2025)
RR
Idaho(1/8/2025)
RR
Oregon(4/12/2022)
IAR
Oregon(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 9/24/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
