Stephen P Levine

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

• 01/2013 → Present
  Cetera Advisors Llc
  Denver, CO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 08/2024 → Present
  Tradewins Financial, Llc
  Pearland, TX

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 11/2021; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY AND LONG TERM CARE; 2. DBA: TRADEWINS FINANCIAL, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, FINANCIAL AND INSURANCE SERVICES, START FEBRUARY 2014, 40 PLUS HOURS PER WEEK - DURING TRADING HOURS, OWNER - FINANCIAL ADVISOR. 3. BASS FISHING TOURNAMENTS, NOT INVESTMENT RELATED, ADDRESS IS THE RESIDENTIAL LOCATION, FISHING AND BEING SPONSORED FOR FISHING, START MARCH 2015, 24 HOURS PER WEEK DURING SPRING AND SUMMER - NOT DURING TRADING HOURS, FISHERMAN. 4. NAME OF OTHER BUSINESS: TRADEWINS FINANCIAL, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 08/2024, POSITION/TITLE/RELATIONSHIP: OWNER, LESS THAN ONE HOUR PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: LLC FOR ACCOUNTING PURPOSES ;

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-05-06
• S63 Uniform Securities Agent State Law Examination
  2010-11-21

Other Names

• Stephen Levine