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.

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

Jul 3, 1984earliest registration or exam on IAPD

Years in industry

42derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

3

Designations

Certified Financial Planner

Exams

S63

First exam

Jul 3, 1984

First registration

Nov 17, 2009

Dual registered

yes, broker-dealer

Other names

STEVEN ARTHUR SHERMAN|STEPHEN ARTHUR SHERMAN

IAPD individual key

1005149

• Occurred

  Jan 29, 2026
  Advisor changed firm

  Steven Arthur Sherman left Osaic Wealth, Inc. for Cetera Investment Advisers Llc (registered 2026-01-28)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:a1802bb7-84a7-3fc6-94aa-723065e29a7c

First observed

Nov 17, 2009

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.