Stephen William Close

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

• 06/2013 → 09/2019
  Lincoln Financial Securities Corporation
  Las Vegas, NV
• 09/2019 → 02/2025
  Concourse Financial Group Securities Inc
  Las Vegas, NV
• 08/2006 → 11/2024
  (Dba) Close Financial Services Inc
  Las Vegas, NV
• 11/2024 → Present
  (Dba) Genrock Wealth Management Llc
  Las Vegas, NV
• 02/2025 → Present
  Cetera Wealth Services, Llc
  Las Vegas, NV
• 02/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2019-09-23 → 2025-02-20
  Concourse Financial Group Securities, Inc.
  Las Vegas, NV
  Las Vegas, NV
  Birmingham, AL
  Birmingham, AL
• 2013-06-19 → 2019-09-17
  Osaic Fs, Inc.
  Las Vegas, NV
  Concord, NH
  Las Vegas, NV
• 2005-06-14 → 2013-07-02
  Lpl Financial Llc
  Las Vegas, NV
  Las Vegas, NV

Other Businesses

1) (dba) GENROCK WEALTH MANAGEMENT LLC; Investment Related; Las Vegas, NV; Other; President; Start Date 11/2024; 40 hours per month with those 40 hours per month occurring during trading hours; This is a DBA Name - we offer life, long-term care, disability and fixed annuity insurance products. >> 2) NEVADA FIREARMS COALITION (NVFAC); Non-Investment Related; 5575 Simmons Street, Suite 1-176; North Las Vegas, NV 89031; Coalition; Treasurer; Start Date 03/2021; 2 to 3 hours per month with no hours per month occurring during trading hours; Responsible for the accounts and funds of the Coalition and for the maintenance of its books, chair the finance committee, and prepare and submit tax and other reports. >> 3) THE CHURCH OF JESUS CHRIST OF LATTER-DAY SAINTS; Non-Investment Related; 7670 S Bruce Street, Las Vegas, NV 89123; Other; Stake Assistant Clerk - Finance; Start Date 10/2023; 6 hours per month with 2 of those hours per month occurring during trading hours; Responsible for balancing bank accounts, reimbursement of various expenses to members, and various other financial related duties as assigned by the Stake President.

Exams

• S66 Uniform Combined State Law Examination
  2004-08-19
• S63 Uniform Securities Agent State Law Examination
  1999-08-18

Designations

• Certified Financial Planner

Other Names

• Steve Close