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Stephen Tyson
30 Years of Experience
Boca Raton, FL
4 DisclosuresBrokerSells Insurance
Stephen Tyson is a registered investment advisor at Cetera Investment Advisers LLC, based in Boca Raton, FL, with 30 years of industry experience. Stephen 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
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
225 NE Mizner Blvd Ste 5550, Boca Raton, FL, 33432
Get directionsHistory
Regulatory History (4)
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.
Judgment / Lien
October 2024Customer Dispute
April 2006Settled
Customer Dispute
October 2002Denied
Customer Dispute
May 2001Settled
Other Business ActivitiesSells Insurance
Stephen is a notary public since June 2022, spending minimal time notarizing documents. He also works as an insurance agent selling fixed insurance products since January 2022, dedicating minimal time to this activity.
Employment History
Current Registrations
Cetera Investment Advisers LLC
April 2023 - Present · 3 yrs 1 mo
Cetera Wealth Services, LLCBroker
April 2019 - Present · 7 yrs 1 mo
Previous Registrations
Cetera Advisor Networks LLC
February 2021 - June 2023 · 2 yrs 4 mos
Summit Financial Group INC
October 2012 - May 2021 · 8 yrs 7 mos
Summit Brokerage Services, INC.Broker
September 2012 - December 2019 · 7 yrs 3 mos
Ameriprise Financial Services, INC.Broker
July 2011 - August 2012 · 1 yr 1 mo
Ameriprise Financial Services, INC.
July 2011 - August 2012 · 1 yr 1 mo
PNC Investments
November 2009 - November 2009 · 0 mos
PNC InvestmentsBroker
November 2009 - November 2009 · 0 mos
Natcity Investments, INC.Broker
November 2008 - November 2009 · 1 yr
Natcity Investments, INC.
November 2008 - November 2009 · 1 yr
Wamu Investments, INC.
June 2007 - November 2008 · 1 yr 5 mos
Wamu Investments, INC.Broker
June 2007 - November 2008 · 1 yr 5 mos
Raymond James Financial Services
February 2005 - June 2006 · 1 yr 4 mos
Raymond James Financial Services, INC.Broker
January 2005 - June 2006 · 1 yr 5 mos
Ifmg Securities, INC.
June 2004 - January 2005 · 7 mos
Ifmg Securities, INC.Broker
June 2004 - January 2005 · 7 mos
Citicorp Investment Services
February 2003 - June 2004 · 1 yr 4 mos
Citicorp Investment ServicesBroker
May 1999 - June 2004 · 5 yrs 1 mo
Olde Discount CorporationBroker
February 1999 - May 1999 · 3 mos
Nationsbanc Investments, INC.Broker
April 1998 - December 1998 · 8 mos
Barnett Investments, INC.Broker
February 1997 - April 1998 · 1 yr 2 mos
Citicorp Investment ServicesBroker
April 1996 - February 1997 · 10 mos
Great Western Financial Securities CorporationBroker
May 1995 - March 1996 · 10 mos
Olde Discount CorporationBroker
January 1994 - May 1995 · 1 yr 4 mos
Prudential Securities IncorporatedBroker
August 1993 - December 1993 · 4 mos
Paragon Capital CorporationBroker
December 1992 - May 1993 · 5 mos
Chatfield Dean & CO., INC.Broker
August 1992 - November 1992 · 3 mos
State Registrations17 states
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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.