SF
Steven P. Fleck
CETERA INVESTMENT ADVISERS LLC
BELLEVUE, WA 98005
Some features on this profile are disabled
CRD#: 7805796
SF
Professional summary
Steven P Fleck, who also goes by Steven Peter Fleck, Steven Fleck, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bellevue, Washington and CETERA WEALTH SERVICES, LLC located in Bellevue, Washington.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Steven has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven Peter Fleck | Steven Fleck
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: CASCADED GUIDED WEALTH INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 3/2025 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 6 BRIEF DESCRIPTION OF DUTIES: TO WORK WITH EXISTING CLIENTS OF CASCADE GUIDED WEALTH AND ONBOARD NEW CLIENTS. I WILL WORK WITH THESE CLIENTS TO GROW AND PROTECT THEIR ASSETS IN ACCORDANCE WITH THEIR NEEDS AND GOALS;
CRS (Client Relationship Summary) - RIA
Click below to view Steven P Fleck'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
March 25, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 626 120th Ave Ne Suite 102, Bellevue, WA 98005RIA
CRD#: 105644
BELLEVUE, WA
Current
March 25, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 626 120th Ave Ne Suite 102, Bellevue, WA 98005BD
CRD#: 13572
Bellevue, WA
Past
February 28, 2024 - March 6, 2025
EDWARD JONES
RIA
CRD#: 250
KENT, WA
Past
January 31, 2024 - March 6, 2025
EDWARD JONES
BD
CRD#: 250
KENT, WA
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
Alabama(5/13/2025)
RR
Alaska(5/13/2025)
RR
Arizona(3/25/2025)
RR
California(3/25/2025)
RR
Colorado(5/13/2025)
RR
Georgia(5/13/2025)
RR
Idaho(5/13/2025)
RR
Michigan(5/13/2025)
RR
Montana(3/25/2025)
RR
New Hampshire(3/25/2025)
RR
New Jersey(5/13/2025)
RR
New York(5/13/2025)
RR
Oregon(3/25/2025)
RR
Washington(3/25/2025)
IAR
Washington(3/25/2025)
RR
Wisconsin(3/25/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/31/2024
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)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.
