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Stephen Close

Cetera Investment Advisers LLC
26 Years of Experience
Las Vegas, NV
BrokerSells Insurance
View SEC Summary
View SEC Summary

Stephen Close is a CFP-designated registered investment advisor at Cetera Investment Advisers LLC, based in Las Vegas, NV, with 26 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

376 E. Warm Springs Road, Suite 265, Las Vegas, NV, 89119

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History

Regulatory History
Clean regulatory record

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.

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Other Business ActivitiesSells Insurance

Stephen is the President of Genrock Wealth Management LLC and President/CEO/Owner of Close Financial Services, Inc., offering financial, estate, and insurance planning. He also serves as Treasurer for the Nevada Firearms Coalition and Stake Assistant Clerk - Finance for The Church of Jesus Christ of Latter-Day Saints.

Employment History
Current Registrations
Cetera Investment Advisers LLC
February 2025 - Present · 1 yr 8 mos
Cetera Wealth Services, LLCBroker
February 2025 - Present · 1 yr 8 mos
Previous Registrations
Concourse Financial Group Advisors
September 2019 - February 2025 · 5 yrs 5 mos
Concourse Financial Group Securities, INC.Broker
September 2019 - February 2025 · 5 yrs 5 mos
Lincoln Financial Securities CorporationBroker
June 2013 - September 2019 · 6 yrs 3 mos
Lincoln Financial Securities Corporation
June 2013 - September 2019 · 6 yrs 3 mos
LPL Financial LLC
June 2005 - July 2013 · 8 yrs 1 mo
LPL Financial LLCBroker
June 2005 - July 2013 · 8 yrs 1 mo
Sunamerica Securities, INC.Broker
July 2003 - June 2005 · 1 yr 11 mos
World Group Securities, INC.Broker
April 2002 - July 2003 · 1 yr 3 mos
Wma Securities, INC.Broker
November 2000 - April 2002 · 1 yr 5 mos
Wma Securities, INC.Broker
August 1999 - October 2000 · 1 yr 2 mos
State Registrations18 states
AKAZCACOCTHIIAINMIMNNVNYORTNTXUTWAWI
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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