STEPHEN FREDERICK SCHLIESSER is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 2000 CROW CANYON PLACE, SUITE 430, SAN RAMON, CA, 94583.
STEPHEN FREDERICK SCHLIESSER has worked at CETERA ADVISOR NETWORKS LLC since February 06, 1996
Disclosure History
STEPHEN FREDERICK SCHLIESSER has 1 Disclosure Event(s).
Date: March 05, 1999 Category: Regulatory Initiated By: CA Allegations: FAILED TO PAY RENEWAL FEE Resolution: Order SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: INVESTMENT ADVISER CERTIFICATE SUMMARILY REVOKEDFOR NON-PAYMENT OF RENEWAL FEE. Broker Comment: THIS PROCEEDING RESULTED FROM THE CHANGE IN REGISTRATION AS AN INVESTMENT ADVISOR. PREVIOUSLY THE REGISTRATION WAS HELD AS STEPHEN F. SCHLIESSER, SOLE PROPRIETOR. A REGISTRATION FOR THE PACIFIC CENTER FOR FINANCIAL SERVICES, A CALIFORNIA CORPORATION WAS FILED. THE RENEWAL FEE FOR THE SOLE PROPRIETORSHIP WAS NOT PAID AND THE REGISTRATION WITHDRAWAL WAS NOT FILED. CALIFORNIA ISSUED A REVOCATION FOR THE SOLE PROPRIETORSHIP. THE PACIFIC CENTER FOR FINANCIAL SERVICES IS CURRENTLY REGISTERED WITH THE SEC AND NOTICE FILED WITH THE STATE OF CALIFORNIA.
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