Stephen Gregg Ellis
Investment adviser representative at Cetera Investment Advisers LLC
33 yearsExperience
2 statesRegistered in
CFADesignation
$256.8BFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
33 years in the industry.
- Cetera Investment Advisers LLCSep 2025 to now
- Cetera Wealth Services, LLCSep 2025 to now
- Green Level Crossing Communtiy AssociationJun 2022 to now
- MediatorJul 2012 to now
- National Futures Association ArbitratorJun 2012 to now
- Finra Dispute Resolution ArbitratorMar 2012 to now
- Ellis Brothers, Inc.Jul 1993 to now
- Avantax Insurance Agency, LLCJan 2014 to Sep 2025
- Avantax Advisory ServicesMar 1996 to Sep 2025
- Avantax Investment Services, Inc.Jul 1993 to Sep 2025
Designations
- CFA
Exams passed
- Series 63 · Uniform Securities Agent State Law1993
- Series 65 · Uniform Investment Adviser Law1996
State registrations
Registered as an investment adviser representative in 2 states (NC, TX).
Cetera Investment Advisers LLC
$256.8BAssets managed
813,961Clients
10,109Advisers
42 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2292370
- Firm CRD
- 105644