Darren Edward Stephens

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
OH	RA	APPROVED	2025-09-05

OH RA
APPROVED

Since 2025-09-05

Branch Locations

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

4704 Derby Drive, Avon, OH 44011 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
1St Global Capital Corp	Avon	OH	03/2004	10/2019
Berrington Pumps & Systems	Avon	OH	08/1996	Present
1St Global Advisors, Inc.	Avon	OH	06/2004	10/2019
Avantax Insurance Services, Inc.	Avon	OH	03/2006	09/2025
Wealth Care Management	Avon	OH	06/2004	11/2022
Avantax Advisory Services	Avon	OH	10/2019	09/2025
Avantax Investment Services, Inc.	Avon	OH	10/2019	09/2025
Cetera Wealth Services, Llc	El Segundo	CA	09/2025	Present
Cetera Investment Advisers Llc	Schaumburg	IL	09/2025	Present

03/2004 → 10/2019

1St Global Capital Corp

Avon, OH
08/1996 → Present

Berrington Pumps & Systems

Avon, OH
06/2004 → 10/2019

1St Global Advisors, Inc.

Avon, OH
03/2006 → 09/2025

Avantax Insurance Services, Inc.

Avon, OH
06/2004 → 11/2022

Wealth Care Management

Avon, OH
10/2019 → 09/2025

Avantax Advisory Services

Avon, OH
10/2019 → 09/2025

Avantax Investment Services, Inc.

Avon, OH
09/2025 → Present

Cetera Wealth Services, Llc

El Segundo, CA
09/2025 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2019-10-25 → 2025-09-05

Avantax Advisory Services

Avon, OH
2004-06-28 → 2019-10-25

1St Global Advisors Inc

Avon, OH

Other Businesses

1) BERRINGTON PUMPS & SYSTEMS POSITION: SALES NATURE: Pump sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/1996 ADDRESS: Avon OH , United States DESCRIPTION: Pump sales 2) CLEVELAND PUMP & SUPPLY LLC POSITION: PARTNER NATURE: PUMP DISTRIBUTOR INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2001 ADDRESS: Avon OH , United States DESCRIPTION: Pump distributor 3) AVANTAX INSURANCE AGENCY AND/OR AVANTAX INSURANCE SERVICES POSITION: Insurance Agent NATURE: Insurance Agent providing insurance products to clients through Avantax INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 1 START DATE: 12/05/2023 ADDRESS: 4704 Derby Drive, Avon OH 44011, United States DESCRIPTION: Insurance Sales through Avantax.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-06-04

S66 Uniform Combined State Law Examination

2004-06-04

View on SEC IAPD