Steven Jay Simons

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2001-10-30

IL RA
APPROVED

Since 2001-10-30

Branch Locations

Buffalo Grove, IL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Gerald Denven & Co.	Des Plaines	IL	02/1991	Present
Cetera Financial Specialists Llc	Schaumburg	IL	06/1999	Present
Cetera Investment Advisers Llc	Schaumburg	IL	10/2001	Present

02/1991 → Present

Gerald Denven & Co.

Des Plaines, IL
06/1999 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
10/2001 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Other Businesses

DENNEN & SIMONS, LLC - NOT INVESTMENT RELATED - NATURE OF BUSINESS: ACCOUNTING & TAX PRACTICE - TITLE: OWNER - STARTED 5/91 - DUTIES: OWN & OPERATE COMPANY - WORK 40-50 HRS/WK - I AM 100% OWNER OF THIS COMPANY.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-10-02
S63	Uniform Securities Agent State Law Examination	1996-10-25

S66 Uniform Combined State Law Examination

2001-10-02
S63 Uniform Securities Agent State Law Examination

1996-10-25

View on SEC IAPD