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WS
CFP
WS
CFP

W. Steen

Cetera Investment Advisers LLC
45 Years of Experience
Dayton, OH
BrokerSells Insurance
View SEC Summary
View SEC Summary

W. Steen is a CFP-designated registered investment advisor at Cetera Investment Advisers LLC, based in Dayton, OH, with 45 years of industry experience. W. 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

7333 Paragon Rd Ste 250, Dayton, OH, 45459

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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

W. is a financial professional at Peak Advisory Group and a minority owner/financial professional at Prosperity Advisors, LLC, both DBAs for financial services, dedicating full-time hours to each. W. also sells fixed insurance products, including annuities and long-term care, spending a few hours per week, and owns Petra Financial Solutions, a tax preparation business, dedicating a few hours per week.

Employment History
Current Registrations
Cetera Investment Advisers LLC
March 2024 - Present · 2 yrs 7 mos
Cetera Advisors LLCBroker
January 2004 - Present · 22 yrs 9 mos
Previous Registrations
Cetera Advisors LLC
January 2004 - March 2024 · 20 yrs 2 mos
Vestax Securities Corporation
December 1999 - January 2004 · 4 yrs 1 mo
Petra Capital Management Group, INC.
October 1999 - November 2005 · 6 yrs 1 mo
Vestax Securities CorporationBroker
November 1996 - January 2004 · 7 yrs 2 mos
Ifg Network Securities, INC.Broker
January 1995 - March 1997 · 2 yrs 2 mos
Banc One Securities CorporationBroker
August 1993 - January 1995 · 1 yr 5 mos
Ifg Network Securities, INC.Broker
December 1992 - August 1993 · 8 mos
Planned Investments INC.Broker
August 1989 - December 1992 · 3 yrs 4 mos
Shearson Lehman Hutton INC.Broker
February 1988 - March 1988 · 1 mo
Painewebber IncorporatedBroker
January 1988 - September 1989 · 1 yr 8 mos
E. F. Hutton & Company INCBroker
March 1981 - February 1988 · 6 yrs 11 mos
Phoenix Equity Planning CorporationBroker
October 1980 - December 1980 · 2 mos
State Registrations24 states
ALAZCACOCTDCFLGAILINKYMAMNMONCNMNYOHOKSCSDTXVAWV
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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