Stephen Philpott
Stephen Philpott is a registered investment advisor at Cetera Investment Advisers LLC, based in Duluth, GA, with 20 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
Firm Size
IM Fee
Assets Under Management
Location
Duluth, GA
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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
Stephen operates as a financial advisor through Kenwick Advisors LLS and sells fixed insurance products, including life, health, disability, annuities, and long-term care, dedicating a significant amount of time to these activities. He also co-owns rental real estate and timberland, and serves as an executor/trustee, but these take minimal time.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Advisors LLCBroker
Previous Registrations
Cetera Advisors LLC
MML Investors Services, LLC
MML Investors Services, LLCBroker
First Union Securities, INC.Broker
Wachovia Securities, INC.Broker
First Union Capital Markets CORP.Broker
First Union Capital Markets CORP.Broker
First Union Capital Markets CORP.Broker
State Registrations7 states
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.