Steven Sarosy
Steven Sarosy is a registered investment advisor at Cetera Investment Advisers LLC, based in Dawson, TX, with 32 years of industry experience. Steven operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
Dawson, TX
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Steven works as a recreation specialist for the City of Irving and serves on the board of Future Leaders of Irving. He also sells insurance products, including equity indexed annuities, through Avantax Insurance Agency and Avantax Insurance Services, dedicating minimal time to these activities.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Financial Specialists LLCBroker
Cetera Wealth Services, LLCBroker
Cetera Investment Services LLCBroker
Cetera Advisors LLCBroker
Previous Registrations
Avantax Advisory Services
Avantax Investment Services, INC.Broker
Southwest Securities, INC.Broker
Southwest Securities, INC.
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
E*trade Advisory Services, INC.
E*trade Securities LLCBroker
Brown & Company Securities CorporationBroker
All-Tech Investment Group, INC.Broker
Bear, Stearns & CO. INC.Broker
State Registrations1 state
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.