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CFP · ChFC
ST
CFP · ChFC

Stephanie Tsang

Cetera Investment Advisers LLC
20 Years of Experience
Scottsdale, AZ
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Stephanie Tsang is a CFP, ChFC-designated registered investment advisor at Cetera Investment Advisers LLC, based in Scottsdale, AZ, with 20 years of industry experience. Stephanie 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

6720 N Scottsdale Rd, St 290, Scottsdale, AZ, 85253

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History

Regulatory History (2)
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.
Customer Dispute
September 2016
Denied
Customer Dispute
October 2010
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Stephanie works as an agent/broker for North Star Consultants & North Star Brokerage, focusing on fixed insurance sales since 2011. This activity takes nearly full-time hours.

Employment History
Current Registrations
Cetera Investment Advisers LLC
August 2023 - Present · 3 yrs 2 mos
Cetera Wealth Services, LLCBroker
August 2023 - Present · 3 yrs 2 mos
Previous Registrations
Securian Financial Services, INC.
October 2012 - August 2023 · 10 yrs 10 mos
Cri Securities, LLC
January 2010 - October 2021 · 11 yrs 9 mos
Marathon Advisors, INC
January 2008 - September 2008 · 8 mos
Marathon Advisors, INC
November 2006 - December 2007 · 1 yr 1 mo
Securian Financial Services, INC.Broker
February 2006 - August 2023 · 17 yrs 6 mos
Cri Securities, LLCBroker
February 2006 - October 2021 · 15 yrs 8 mos
State Registrations18 states
AZCACOFLHIKYMDMIMNMTNCNVNYORPATXVAWA
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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