Individual Firm
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Stephen William Close
STEVE CLOSE
CRD#: 3241129
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 376 E. WARM SPRINGS ROAD
SUITE 265
LAS VEGAS, NV 89119
SUITE 265
LAS VEGAS, NV 89119
CETERA ADVISOR NETWORKS LLCCRD#: 13572 376 E. Warm Springs Road
Suite 265
Las Vegas, NV 89119
Suite 265
Las Vegas, NV 89119
0
Disclosures
25
Years of Experience
View By:
State Registrations
B
Alaska 2/20/2025
IA
Nevada 2/20/2025
B
Arizona 2/20/2025
B
New York 2/20/2025
B
California 2/20/2025
B
Oregon 2/20/2025
B
Colorado 2/20/2025
B
Texas 2/20/2025
B
Connecticut 2/20/2025
B
Utah 2/20/2025
B
Hawaii 2/20/2025
B
Virginia 2/20/2025
B
Idaho 2/20/2025
B
Washington 2/20/2025
B
Indiana 2/20/2025
B
Wisconsin 2/20/2025
B
Nevada 2/20/2025
SRO Registrations
B
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IA
Registered with this firm since 2/20/2025
B
Registered with this firm since 2/20/2025
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/23/2019 - 02/20/2025 | Las Vegas, NV | |
B | 09/12/2019 - 02/20/2025 | Las Vegas, NV | |
IA | 06/19/2013 - 09/17/2019 | Las Vegas, NV | |
B | 06/19/2013 - 09/17/2019 | Las Vegas, NV | |
IA | 06/14/2005 - 07/02/2013 | LAS VEGAS, NV | |
B | 06/14/2005 - 07/02/2013 | LAS VEGAS, NV | |
B | 07/24/2003 - 06/06/2005 | PHOENIX, AZ | |
B | 04/12/2002 - 07/31/2003 | DULUTH, GA | |
B | 11/20/2000 - 04/12/2002 | DULUTH, GA | |
B | 08/27/1999 - 10/04/2000 | DULUTH, GA |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.