Stephen William Brown

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
OK	RA	APPROVED	2023-06-29
TX	RA	APPROVED	2023-06-29

OK RA
APPROVED

Since 2023-06-29
TX RA
APPROVED

Since 2023-06-29

Branch Locations

Sperry, OK • 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
Edward Jones	St Louis	MO	08/2014	05/2023
Cetera Wealth Services, Llc	El Segundo	CA	06/2023	Present
Trident Financial Group Llc	Sperry	OK	06/2023	Present
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present

08/2014 → 05/2023

Edward Jones

St Louis, MO
06/2023 → Present

Cetera Wealth Services, Llc

El Segundo, CA
06/2023 → Present

Trident Financial Group Llc

Sperry, OK
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2015-01-15 → 2023-06-09

Edward Jones

St Louis, MO

Claremore, OK

Skiatook, OK

Skiatook, OK

Tulsa, OK

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: 01/2015 APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: TRIDENT & SONS CREATIONS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: WOODWORKING START DATE: 05/2022 APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: TEACHER BRIEF DESCRIPTION OF DUTIES: TEACH HANDCRAFT WOODWORKING TO SON AND GRANSONS; 3. NAME OF OTHER BUSINESS: TRIDENT FINANCIAL GROUP LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 6/2023, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES & SALE & SERVICE FOR FIXED INSURANCE;