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STEPHANIE NICOLE ANDERSON
STEPHANIE NICOLE UMBACH
CRD#: 6287991
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 222 EDGEWOOD ROAD NW
SUITE 203A
CEDAR RAPIDS, IA 52405
CETERA ADVISORS LLCCRD#: 10299 6040 ROUTE 53 SUITE A
Lisle, IL 60532
Registration History
20162017201820192020202120222023202420252026IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2020 - Present (4 years)BCETERA ADVISORS LLC (CRD# 10299)2022 - Present (2 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2016 - 2022 (6 years)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2016 - 2020 (4 years)
License(s)

State Registrations

B
Arizona 9/8/2022

B
Minnesota 5/26/2023

B
Arkansas 3/22/2024

B
Mississippi 7/10/2023

B
California 9/8/2022

B
Missouri 4/5/2024

B
Colorado 9/8/2022

B
Nebraska 12/19/2024

B
Connecticut 9/8/2022

B
New Mexico 9/8/2022

IA
Illinois 3/5/2021

B
South Carolina 9/8/2022

B
Illinois 9/8/2022

B
South Dakota 9/8/2022

B
Indiana 10/6/2022

IA
Texas 11/12/2020

IA
Iowa 11/12/2020

B
Texas 9/8/2022

B
Iowa 9/8/2022

B
Virginia 5/6/2024

B
Kansas 8/15/2024

B
Wisconsin 9/8/2022

B
Michigan 9/8/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
222 EDGEWOOD ROAD NW SUITE 203A, CEDAR RAPIDS, IA 52405
6040 ROUTE 53 SUITE A, LISLE, IL 60532
Registered with this firm since 11/12/2020

B
CETERA ADVISORS LLC (CRD#:10299)
6040 ROUTE 53 SUITE A, Lisle, IL 60532
222 Edgewood Rd NW Suite 203A, CEDAR RAPIDS, IA 52405
Registered with this firm since 9/8/2022

Previous Registration(s)
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B
01/05/2016 - 09/08/2022 FIRST ALLIED SECURITIES, INC. (CRD#:32444) Lisle, IL
IA
01/11/2016 - 11/12/2020 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) Cedar Rapids, IA
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B
Broker
IA
Investment Adviser
Disclosures
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.