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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

STEVEN SAROSY

Advisor at CETERA INVESTMENT ADVISERS LLC

LEWISVILLE, TX | DAWSON, TX | DALLAS, TX

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Search this name across graphsid dfx:ria:d71e6b11-0da7-7289-5a46-02f75ffadbfc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 15, 2002 to Sep 15, 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: Mar 19, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Mar 19, 1992
First registration: Feb 15, 2002
Dual registered: yes, broker-dealer
Other names: STEVEN BERTRAND SAROSY
IAPD individual key: 2212963

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	Sep 5, 2025	n/a	yes	DAWSON, TX\|LEWISVILLE, TX\|DALLAS, TX	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Apr 4, 2007	Sep 5, 2025	no	DALLAS, TX\|Dallas, TX\|Dawson, TX\|Lewisville, TX	Previous registration
HILLTOP SECURITIES INC.	Bd affiliated wealth	Dec 15, 2003	Aug 1, 2005	no	DALLAS, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Oct 21, 2002	Dec 18, 2003	no	DALLAS, TX	Previous registration
E*TRADE ADVISORY SERVICES, INC.	n/a	Feb 15, 2002	Sep 4, 2002	no	HURST , TX	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
AVANTAX ADVISORY SERVICES	CETERA INVESTMENT ADVISERS LLC	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
HILLTOP SECURITIES INC.	AVANTAX ADVISORY SERVICES	Aug 1, 2005	Apr 4, 2007	611	Firm change after gap	Other
CHASE INVESTMENT SERVICES CORP.	HILLTOP SECURITIES INC.	Dec 18, 2003	Dec 15, 2003	-3	Firm change	Other
E*TRADE ADVISORY SERVICES, INC.	CHASE INVESTMENT SERVICES CORP.	Sep 4, 2002	Oct 21, 2002	47	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Apr 4, 2007 to Sep 5, 2025factForm ADV
→ HILLTOP SECURITIES INC.Registered adviserregistration: previous registration
Dec 15, 2003 to Aug 1, 2005factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Oct 21, 2002 to Dec 18, 2003factForm ADV
→ E*TRADE ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Feb 15, 2002 to Sep 4, 2002factForm ADV

Dated events

No dated event names this entity yet.