Stephen Robert Philpott

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2014 → Present
  Cetera Advisors Llc
  Denver, CO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2011-12-19 → 2014-11-11
  Mml Investors Services, Llc
  Atlanta, GA

Other Businesses

1. DBA: KENWICK ADVISORS LLS, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, FINANCIAL AND INSURANCE SERVICES, START JANUARY 2013, 40 HOURS PER WEEK - DURING TRADING HOURS, OWNER - FINANCIAL ADVISOR. 2. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, START OCTOBER 2014, 20 HRS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE. 3. 1771 ST. ANDREWS COMMON, NOT INVESTMENT RELATED, 4900 RIVERLAKE DRIVE, DULUTH, GA 30097, REAL ESTATE RENTAL, START 2003, 1HOUR PER WEEK - NOT DURING TRADING HOURS, CO-OWN WITH SPOUSE. 4. NAME OF OTHER BUSINESS: STEPHEN PHILPOTT - TIMBERLAND; INVESTMENT RELATED: NO; ADDRESS: LAKEVIEW DRIVE, BASSETT, VA; NATURE OF BUSINESS: TIMBERLAND; START DATE: 09/2017; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: COLLECT REVENUE FROM TIMBER HARVEST; 5. NAME OF OTHER BUSINESS: EXECUTOR FOR MOTHERS ESTATE AND TRUSTEE FOR PARENTS; INVESTMENT RELATED: NO; ADDRESS: 4900 RIVERLAKE DR, DULUTH, GA 30097; NATURE OF BUSINESS: ESTATE / TRUST; START DATE: 09/2024; POSITION/TITLE/RELATIONSHIP:EXECUTOR / TRUSTEE; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: EXECUTOR FOR MOTHERS ESTATE / TRUSTEE DUTIES; 6. PHILPOTT DESCENDANTS, INC, NOT INVESTMENT RELATED, 95 BALSAM DR., UNION HALL, VA, 24176, REAL ESTATE, STARTED 1993, POSITION/TITLE/RELATIONSHIP: PART OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES; FAMILY OWNED VACATION PROPERTY 7. NAME OF OTHER BUSINESS: THE PHILPOTT CORPORATION; INVESTMENT RELATED: NO ADDRESS: 250 WHITE PINE ROAD BASSETTM VA 24055; NATURE OF BUSINESS: TIMBERLAND; START DATE: 05/2022; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 0 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0 ; BRIEF DESCRIPTION OF DUTIES: RURAL TIMBERLAND ;

Exams

• S66 Uniform Combined State Law Examination
  2011-11-22
• S63 Uniform Securities Agent State Law Examination
  1995-11-27

Other Names

• Stephen Robert Philpott
• Steve Philpott