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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

STEVEN J MATTERN

Advisor at CETERA INVESTMENT ADVISERS LLC

Boardman, OH | Lakewood, OH

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Search this name across graphsid dfx:ria:23a4a5fe-d2a3-ebce-3a98-4f2df545ec54

Data as of Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Jun 22, 2020 to Sep 18, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jun 19, 2020
First registration: Jun 22, 2020
Dual registered: yes, broker-dealer
Other names: Steven Joseph Mattern
IAPD individual key: 7238443

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Aug 11, 2026	n/a	yes	Boardman, OH\|Lakewood, OH	Current employment
AMFG WEALTH MANAGEMENT LLC	State registered	Nov 19, 2024	Apr 21, 2026	no	WESTLAKE, OH	Previous registration
ESI FINANCIAL ADVISORS	Independent wealth	Mar 7, 2023	Nov 15, 2024	no	ERIE, PA\|WHITE PLAINS, NY\|ERIE, PA\|LATHAM, NY	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Nov 10, 2020	Mar 9, 2023	no	ERIE, PA\|Canonsburg, PA	Previous registration
EDWARD JONES	National bd RIA	Jun 22, 2020	Aug 24, 2020	no	Erie, PA\|ST LOUIS, MO\|ERIE, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMFG WEALTH MANAGEMENT LLC	CETERA INVESTMENT ADVISERS LLC	Apr 21, 2026	Aug 11, 2026	112	Firm change	Other
ESI FINANCIAL ADVISORS	AMFG WEALTH MANAGEMENT LLC	Nov 15, 2024	Nov 19, 2024	4	Firm change	RIA to state RIA
PRUCO SECURITIES, LLC	ESI FINANCIAL ADVISORS	Mar 9, 2023	Mar 7, 2023	-2	Firm change	Ibd to ibd
EDWARD JONES	PRUCO SECURITIES, LLC	Aug 24, 2020	Nov 10, 2020	78	Firm change	Ibd to ibd

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
5685:265:PA:2023-03-08	Mar 9, 2023	Mar 7, 2023	CANONSBURG, PA	Firm change

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Aug 11, 2026 to presentfactForm ADV
→ AMFG WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Nov 19, 2024 to Apr 21, 2026factForm ADV
→ ESI FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Mar 7, 2023 to Nov 15, 2024factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Nov 10, 2020 to Mar 9, 2023factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Jun 22, 2020 to Aug 24, 2020factForm ADV

Dated events

Occurred
Apr 21, 2026
Advisor changed firm
Steven J Mattern left Amfg Wealth Management Llc for Cetera Investment Advisers Llc (registered 2026-08-11)
Form ADVobserved 6 days ago
Occurred
Nov 15, 2024
Advisor changed firm
Steven J Mattern left Esi Financial Advisors for Amfg Wealth Management Llc (registered 2024-11-19)
Form ADVobserved 6 days ago
Occurred
Mar 9, 2023
Advisor changed firm
Steven J Mattern left Pruco Securities, Llc for Esi Financial Advisors (registered 2023-03-07)
Form ADVobserved 6 days ago