Steven A. Kay
Professional summary
Steven Arthur Kay is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Danville, California and CETERA WEALTH SERVICES, LLC located in Livermore, California.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Steven has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steven Arthur Kay's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
August 13, 2008 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 4115 Blackhawk Pla Cir Ste 100, Danville, CA 94506August 13, 2008 - June 29, 2023
CETERA WEALTH SERVICES, LLC
June 3, 2003 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
June 3, 2003 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
January 1, 1996 - May 29, 2003
INTERPACIFIC INVESTORS SERVICES, INC.
June 14, 1991 - July 31, 1995
CETERA WEALTH SERVICES, LLC
January 9, 1990 - June 20, 1991
HERRMANN SECURITIES, INC.
November 15, 1989 - January 16, 1990
CYPRESS CAPITAL CORPORATION
November 13, 1987 - November 15, 1989
HERRMANN SECURITIES, INC.
January 23, 1986 - November 11, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
April 26, 1982 - January 27, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
April 26, 1982 - January 28, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
April 26, 1982 - January 28, 1986
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/13/2008)
(6/29/2023)
(12/4/2017)
(4/4/2024)
(4/18/2018)
(8/9/2018)
(12/15/2020)
(9/21/2015)
(10/2/2009)
(5/17/2017)
(1/9/2017)
(12/15/2023)
(11/5/2024)
(8/13/2008)
(5/29/2020)
(6/29/2023)
(8/20/2019)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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