SM
Stacie M. Middleton
CETERA INVESTMENT ADVISERS LLC
BYRON CENTER, MI
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CRD#: 7712991
SM
Professional summary
Stacie Marie Middleton, who also goes by Stacie Marie Rohde, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Byron Center, Michigan and CETERA FINANCIAL SPECIALISTS LLC located in Byron Center, Michigan.
Stacie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Stacie has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stacie Marie Rohde
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) STACIE MIDDLETON; MILLINGTON, MI; NON-INVESTMENT RELATED; FIDUCIARY FOR FAMILY MEMBERS; POA/EXECUTOR TO ESTATE; SINCE 03/2013; 1 HR/MO 2) NAME OF OTHER BUSINESS: MARSHALL ACTIVE PARENTS AND STUDENTS (MAPS); INVESTMENT RELATED: NO; ADDRESS: 1756 64TH ST SW BYRON CENTER, MI 49315; NATURE OF BUSINESS: PARENT ASSOCIATION; START DATE: 08/2023; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: TRACK FUNDS RAISED AND FUNDS USED FOR EVENTS; 3) NAME OF OTHER BUSINESS: ARLINGTON PARK HOME OWNERS ASSOCIATION (HOA); INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: HOMEOWNERS ASSOCIATION; START DATE: 11/2024; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: TRACK HOA DUES AND FUNDS USED FOR EXPENSE, CREATE AND MAINTAIN ANNUAL BUDGET, CHECKWRITING; 4) NAME OF OTHER BUSINESS: AYSO UNITED SOCCER CLUB TEAM MANAGER; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SOCCER CLUB; START DATE: 8/2025; POSITION/TITLE/RELATIONSHIP: TEAM MANAGER; APX NUMBER OF HOURS PER WEEK: 1.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: COORDINATING ACTIVITIES AND MEETINGS WITH TEAM PARENTS; 5) NAME OF OTHER BUSINESS: RMR LAKE LIFE LLC; INVESTMENT RELATED: NO; ADDRESS: 6205 WEST LAKE RD, TWIN LAKE, MI 49457; NATURE OF BUSINESS: VACATION PROPERTY; START DATE: 8/2023; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MAINTENANCE OF VACATION HOME FOR FAMILY; 6. NAME OF OTHER BUSINESS: PARENTS AT WEST (PAW); INVESTMENT RELATED: NO; ADDRESS: 8654 HOMERICH AVE SW, BYRON CENTER, MI 49315; NATURE OF BUSINESS: BOARD; START DATE: 10/2025; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: TRACK FUNDS RAISED AS WELL AS FUNDS USED FOR SCHOOL EVENTS. ALL RECEIPT AND USE OF FUNDS IS TRACKED BY THE TREASURER BUT APPROVED BY THE PRESIDENT;
CRS (Client Relationship Summary) - RIA
Click below to view Stacie Marie Middleton'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
January 6, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
BYRON CENTER, MI
Current
April 14, 2023 - Present
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
BYRON CENTER, 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
Florida(5/17/2023)
RR
Michigan(5/1/2023)
IAR
Michigan(1/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 4/14/2023
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.
