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W. JAMES STEEN
JIM STEEN, W JAMES STEEN, W. JAMES STEEN, WILLIAM JAMES STEEN
CRD#: 718291
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 7333 PARAGON RD STE 250
DAYTON, OH 45459
CETERA ADVISORS LLCCRD#: 10299 7333 PARAGON RD STE 250
DAYTON, OH 45459
Registration History
1980198519901995200020052010201520202025IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2024 - Present (<1 year)BCETERA ADVISORS LLC (CRD# 10299)2004 - Present (20 years)BVESTAX SECURITIES CORPORATION (CRD# 10332)1996 - 2004 (7 years)BIFG NETWORK SECURITIES, INC. (CRD# 19948)1995 - 1997 (2 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)1993 - 1995 (1 year)BIFG NETWORK SECURITIES, INC. (CRD# 19948)1992 - 1993 (<1 year)BPLANNED INVESTMENTS INC. (CRD# 5066)1989 - 1992 (3 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1988 - 1989 (1 year)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1988 - 1988 (<1 year)BE. F. HUTTON & COMPANY INC (CRD# 235)1981 - 1988 (6 years)BPHOENIX EQUITY PLANNING CORPOR... (CRD# 3036)1980 - 1980 (<1 year)IACETERA ADVISORS LLC (CRD# 10299)2004 - 2024 (20 years)IAPETRA CAPITAL MANAGEMENT GROUP... (CRD# 120588)1999 - 2005 (6 years)IAVESTAX SECURITIES CORPORATION (CRD# 10332)1999 - 2004 (4 years)
License(s)

State Registrations

B
Alabama 10/19/2011

B
New Mexico 1/1/2004

B
Arizona 4/17/2020

B
New York 1/1/2004

B
Colorado 1/3/2018

B
North Carolina 1/1/2004

B
Connecticut 1/1/2004

B
Ohio 1/1/2004

B
District of Columbia 1/3/2017

IA
Ohio 3/21/2024

B
Florida 1/1/2004

B
Oklahoma 1/4/2007

B
Georgia 5/8/2019

B
South Carolina 1/3/2006

B
Illinois 11/10/2006

B
South Dakota 9/15/2015

B
Indiana 1/1/2004

B
Texas 1/2/2008

B
Kentucky 1/1/2004

IA
Texas 3/21/2024

B
Massachusetts 10/1/2013

B
Virginia 1/4/2007

B
Minnesota 1/2/2008

B
West Virginia 1/4/2007

B
Missouri 10/8/2024

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)
7333 PARAGON RD STE 250, DAYTON, OH 45459
Registered with this firm since 3/21/2024

B
CETERA ADVISORS LLC (CRD#:10299)
7333 PARAGON RD STE 250, DAYTON, OH 45459
Registered with this firm since 1/1/2004

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/01/2004 - 03/21/2024 CETERA ADVISORS LLC (CRD#:10299) DAYTON, OH
IA
10/29/1999 - 11/09/2005 PETRA CAPITAL MANAGEMENT GROUP, INC. (CRD#:120588) DAYTON, OH
IA
12/07/1999 - 01/01/2004 VESTAX SECURITIES CORPORATION (CRD#:10332) DAYTON, OH
B
11/25/1996 - 01/01/2004 VESTAX SECURITIES CORPORATION (CRD#:10332) HUDSON, OH
B
01/13/1995 - 03/06/1997 IFG NETWORK SECURITIES, INC. (CRD#:19948) ATLANTA, GA
B
08/10/1993 - 01/13/1995 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
12/11/1992 - 08/19/1993 IFG NETWORK SECURITIES, INC. (CRD#:19948) ATLANTA, GA
B
08/31/1989 - 12/31/1992 PLANNED INVESTMENTS INC. (CRD#:5066) ATLANTA, GA
B
01/18/1988 - 09/07/1989 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
02/15/1988 - 03/04/1988 SHEARSON LEHMAN HUTTON INC. (CRD#:7506)
B
03/10/1981 - 02/15/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
B
10/30/1980 - 12/01/1980 PHOENIX EQUITY PLANNING CORPORATION (CRD#:3036)
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B
Broker
IA
Investment Adviser
Disclosures
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