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Detailed Report
EMILY BARBARA STEAD
CRD#: 6335316
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1702 E. HIGHLAND AVE
SUITE 204
PHOENIX, AZ 85016
CETERA INVESTMENT SERVICES LLCCRD#: 15340 1702 E. HIGHLAND AVE
SUITE 204
PHOENIX, AZ 85016
Registration History
201620172018201920202021202220232024202520262 FIRMS2019 - Present (5 years)BFORESTERS FINANCIAL SERVICES, INC. (CRD# 305)2016 - 2019 (3 years)IAFORESTERS ADVISORY SERVICES, LLC (CRD# 164663)2017 - 2019 (2 years)
License(s)

State Registrations

B
Arizona 6/21/2019
B
North Carolina 8/6/2024
IA
Arizona 6/27/2019
B
Pennsylvania 9/9/2024
B
California 10/6/2020
B
Texas 2/7/2025
B
Colorado 8/10/2021
IA
Texas 2/7/2025
B
Georgia 8/24/2020
B
Virginia 12/16/2022
B
Indiana 5/26/2023
B
Washington 3/30/2023
B
Kansas 5/17/2023
B
Wisconsin 11/27/2024
B
Michigan 8/25/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
1702 E. HIGHLAND AVE SUITE 204, PHOENIX, AZ 85016
GILBERT, AZ
Registered with this firm since 6/27/2019
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
1702 E. HIGHLAND AVE SUITE 204, PHOENIX, AZ 85016
GILBERT, AZ
Registered with this firm since 6/20/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/24/2017 - 06/25/2019 FORESTERS ADVISORY SERVICES, LLC (CRD#:164663) PHOENIX, AZ
B
 06/21/2016 - 06/25/2019 FORESTERS FINANCIAL SERVICES, INC. (CRD#:305) PHOENIX, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.