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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Robert PhiLPott is a financial advisor with Cetera Investment Advisers LLC. Stephen is a registered representative in Georgia and a registered investment advisor in Georgia, Colorado, Indiana, Maryland, North Carolina, Pennsylvania, South Carolina, and Virginia. Stephen has been in the securities industry since 1997. He has a Series 7, Series 63, and Series 66 license. Stephen is a member of the Financial Industry Regulatory Authority (FINRA). Stephen is a registered representative of Cetera Investment Advisers LLC. Cetera Investment Advisers LLC is an investment advisor registered with the Securities and Exchange Commission (SEC). Cetera Investment Advisers LLC has been in business since 1985. Cetera Investment Advisers LLC has over 6,000 employees and manages over $100 billion in assets. Cetera Investment Advisers LLC offers a wide range of financial services, including investment advice, financial planning, and retirement planning.
DULUTH, GA
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
GA
03/21/2024 - Present
Cetera Investment Advisers LLC (DULUTH GA)
GA
10/28/2011 - 11/11/2014
MML INVESTORS SERVICES, LLC (ATLANTA GA)
MO
10/15/2001 - 02/28/2002
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
08/31/1999 - 10/15/2001
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NC
02/02/1998 - 06/29/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NA
09/16/1997 - 02/02/1998
FIRST UNION CAPITAL MARKETS CORP.
NC
02/15/1996 - 02/02/1998
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
BOTH
Issued 11/22/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/27/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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