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Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2021-08-18
TX RA APPROVED 2021-08-18
  • LA RA
    APPROVED
    Since 2021-08-18
  • TX RA
    APPROVED
    Since 2021-08-18

Branch Locations

1127 N Causeway Blvd, Mandeville, LA 70471 • 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
OrganizationCityStateFromTo
Avantax Investment Services, Inc. Mandeville LA 02/2007 08/2021
Johnson Financial, Llc Dba For Investments Mandeville LA 01/2007 Present
Cetera Financial Specialists Llc Schaumburg IL 08/2021 Present
Cetera Investment Advisers Llc Schaumburg IL 08/2021 Present
  • 02/2007 → 08/2021
    Avantax Investment Services, Inc.
    Mandeville, LA
  • 01/2007 → Present
    Johnson Financial, Llc Dba For Investments
    Mandeville, LA
  • 08/2021 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 08/2021 → Present
    Schaumburg, IL
Previous Registrations
  • 2007-02-01 → 2021-08-23
    Avantax Advisory Services
    Fort Collins, CO
Other Businesses

1) JOHNSON FINANCIAL, LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, MANAGING MEMBER AND ENROLLED AGENT, TAX PREPARATION SERVICES/PRACTICE, PREPARES PERSONAL BUSINESS AND NON-PROFIT TAX RETURNS, DBA FOR INVESTMENT BUSINESS, FINANCIAL PROFESSIONAL, 40H/WEEK, SINCE 01/2007 2) RENTAL PROPERTY, INVESTMENT RELATED, SANTA ROSA BEACH, FL, OWNER, SHORT TERM VACATION RENTAL PROPERTY, 2H/WEEK, SINCE 08/2020

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-01-22
S63 Uniform Securities Agent State Law Examination 2003-02-27
  • S65 Uniform Investment Adviser Law Examination
    2007-01-22
  • S63 Uniform Securities Agent State Law Examination
    2003-02-27
Designations
Other Names
  • Steven Ross Johnson

View on SEC IAPD

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