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Stephen Zahorian

Cetera Investment Advisers LLC
39 Years of Experience
Fort Myers, FL
3 DisclosuresBroker
View SEC Summary
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Stephen Zahorian is a registered investment advisor at Cetera Investment Advisers LLC, based in Fort Myers, FL, with 39 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

2029 Bayside Parkway, Fort Myers, FL, 33901

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
November 2013
Customer Dispute
August 2013
Denied
Customer Dispute
November 2000
Pending
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stephen is the president of Family Tree Financial Services, LLC, a financial services DBA, since 2008. He dedicates about a quarter of his time to this activity, with most of those hours occurring during trading hours.

Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLCBroker
September 2019 - Present · 7 yrs 1 mo
Previous Registrations
Cetera Advisor Networks LLC
March 2021 - June 2023 · 2 yrs 3 mos
Summit Financial Group INC
November 2013 - May 2021 · 7 yrs 6 mos
Summit Brokerage Services, INC.Broker
November 2013 - September 2019 · 5 yrs 10 mos
Raymond James Financial Services Advisors, INC
June 2009 - November 2013 · 4 yrs 5 mos
Raymond James Financial Services
September 2008 - October 2009 · 1 yr 1 mo
Raymond James Financial Services, INC.Broker
August 2008 - November 2013 · 5 yrs 3 mos
Banc of America Investment Services, INC.
December 2005 - August 2008 · 2 yrs 8 mos
Banc of America Investment Services, INC.Broker
December 2005 - August 2008 · 2 yrs 8 mos
Citigroup Global Markets INC.
May 2000 - December 2005 · 5 yrs 7 mos
Citigroup Global Markets INC.Broker
May 2000 - December 2005 · 5 yrs 7 mos
Raymond James & Associates, INC.Broker
April 1987 - May 2000 · 13 yrs 1 mo
State Registrations18 states
AZCTFLGAIAIDILKYMDMINCNHNYSCTNTXUTVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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