Steven M. Marantz

CETERA INVESTMENT ADVISERS LLC

Dalton, MA

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CRD#: 1082207

Professional summary

Steven Mark Marantz is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dalton, Massachusetts and CETERA WEALTH SERVICES, LLC located in Glastonbury, Connecticut.

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 13 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 111 FOUNDERS PLAZA STE 1706; EAST HARTFORD; CT; 06108; Fixed Insurance Sales; Independent Insurance Agent; 10/5/2020; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:REED FINANCIAL PLANNING SERVICES, LLC; Yes; 111 FOUNDERS PLAZA STE 1706; EAST HARTFORD; CT; 06108; FINANCIAL SERVICES/DBA; FINANCIAL ADVISOR; 10/5/2020; 160; 106; SALE AND SERVICE FIXED INSURANCE, SECURITIES AND INVESTMENT PRODUCTS|NAME OF ENTITY:TOWN OF LONGMEADOW; No; 20 WILLIAMS ST; LONGMEADOW; MA; 01106; TOWN BOARD; MEMBER-SELECT BOARD; 6/17/2020; 20; 2; SET POLICY & HIRE/FIRE THE TOWN MANAGER|NAME OF ENTITY:LOCAL COMMUNITY MITIGATION; No; 101 FEDERAL ST; BOSTON; MA; 02110; MITIGATION ADVISORY COMMITTEE; COMMITTEE MEMBER; 9/1/2018; 1; 1; ATTEND MEETINGS AND DISCUSS IMPACT OF CASION IN SPRINGFIELD|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mark Marantz's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 95 Glastonbury Blvd Ste 210, Glastonbury, CT 06033

RIA

CRD#: 105644

Dalton, MA

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 95 Glastonbury Blvd, Suite 210, Glastonbury, CT 06033

CRD#: 13572

Glastonbury, CT

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

October 6, 2020 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

East Hartford, CT

Past

October 2, 2020 - June 9, 2021

CRD#: 31299

PITTSFIELD, MA

Past

January 1, 2002 - January 3, 2007

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

SPRINGFIELD, MA

Past

October 1, 2001 - January 1, 2005

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

August 27, 1999 - September 21, 2001

PACVEST ASSOCIATES, INC.

CRD#: 29583

WOODSTOCK, CT

Past

December 21, 1982 - August 26, 1999

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/9/2021)

Connecticut
(6/9/2021)

IAR

Connecticut
(6/29/2023)

Florida
(6/11/2021)

Maryland
(11/12/2021)

Massachusetts
(6/9/2021)

IAR

Massachusetts
(6/29/2023)

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Steven M. Marantz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mark Marantz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

PURSHE KAPLAN STERLING INVESTMENTS

CONSCIOUS CAPITAL WEALTH MANAGEMENT, LLC

J.W. COLE FINANCIAL, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANCNORTH INVESTMENT GROUP, INC.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

PACVEST ASSOCIATES, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/2016

Series 63

Date: 12/27/1982

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 8/20/1987

Series 7

Date: 12/18/1982

Series 24

Date: 2/10/2000

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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