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Stephanie Kikawa
CETERA INVESTMENT ADVISERS
SANTA ANA, CA 92707
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CRD#: 7765572
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Stephanie KikawaCETERA INVESTMENT ADVISERS
Professional summary
Stephanie Kikawa is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Santa Ana, California and CETERA ADVISORS LLC located in Santa Ana, California.
Stephanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2026. Stephanie has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
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: JMB Financial Managers INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: financial services START DATE: 06/2023 POSITION/TITLE/RELATIONSHIP: admin assistant APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 15 BRIEF DESCRIPTION OF DUTIES: Administrative and clerical work related to servicing client accounts and assisting the registered rep 2. NAME OF OTHER BUSINESS: SOWERS MUSIC PARENT ASSOCIATION INVESTMENT RELATED: no ADDRESS: 9300 INDIANAPOLIS AVE, Huntington bch, ca NATURE OF BUSINESS: music START DATE: 07/2025 POSITION/TITLE/RELATIONSHIP: president APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PRESIDES OVER BOARD MEETINGS, ACT AS PRIMARY LIASON BETWEEN THE BOARD, SCHOOL ADMINISTRATION, AND MUSIC DIRECTORS
CRS (Client Relationship Summary) - RIA
Click below to view Stephanie Kikawa'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
July 28, 2026 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6 Hutton Centre Drive Ste 1280, Santa Ana, CA 92707RIA
CRD#: 105644
SANTA ANA, CA
Current
February 27, 2026 - Present
CETERA ADVISORS LLC
Office #1: 6 Hutton Centre Drive Ste 1280, Santa Ana, CA 92707BD
CRD#: 10299
SANTA ANA, CA
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
California(7/27/2026)
IAR
California(7/28/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/27/2026
General Securities 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)Loading...
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 |
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.
