Steven S. Richardson
CETERA INVESTMENT ADVISERS LLC
LOUISVILLE, KY 40223
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CRD#: 1164702
Professional summary
Steven Scott Richardson, CFP®, who also goes by Scott Richardson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Louisville, Kentucky and CETERA WEALTH SERVICES, LLC located in Louisville, Kentucky.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Steven has worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Richardson
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.
1. INDEPENDENT INSURANCE AGENT, SELLING LTC, THROUGH COMMONWEALTH CAPITAL MANAGEMENT, LLC, FOR 2HRS/WK DURING SECURITIES TRADING & 0HRS/WKND & EVENINGS, SINCE 9/2013; 2. BEACHWAY PROPERTIES, LLC, MINORITY OWNER, RENTAL PROPERTIES, FOR 2HRS/WK DURING SECURITIES TRADING & 0HRS/WKND & EVENINGS, SINCE 3/2012, 3.NAME OF OTHER BUSINESS: COMMONWEALTH CAPITAL MANAGEMENT, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 8/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40-50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4. NORTARY PUBLIC, FOR 0HRS/WK & WKND, SINCE 6/2010; 5. SYCAMORE RIDGE HOA, NOT INVESTMENT RELATED, SAME AS RESIDENTIAL ADDRESS, HOMEOWNER/SUBDIVISION ACTIVITY, START 09/10/2014, 1HR/WK (NON-TRADING HOURS), PRESIDENT;
CRS (Client Relationship Summary) - RIA
Click below to view Steven Scott Richardson's 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®
CFP®
Start date: 1990
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10503 Timberwood Circle Suite 205, Louisville, KY 40223RIA
CRD#: 105644
LOUISVILLE, KY
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 10503 Timberwood Circle Suite 205, Louisville, KY 40223BD
CRD#: 13572
Louisville, KY
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
September 29, 2011 - September 3, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
LOUISVILLE, KY
Past
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
LOUISVILLE, KY
Past
June 14, 1996 - January 28, 2003
NATHAN & LEWIS SECURITIES, INC.
RIA
CRD#: 8503
LOUISVILLE, KY
Past
June 14, 1996 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
February 16, 1994 - June 19, 1996
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
BD
CRD#: 2864
BRYAN, OH
Past
April 26, 1984 - March 8, 1994
ALEXANDER INVESTMENT SERVICES CO.
BD
CRD#: 1037
LOUISVILLE, KY
Past
September 23, 1983 - May 4, 1984
WADDELL & REED
BD
CRD#: 866
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Alabama(12/17/2014)
RR
Arizona(9/3/2013)
RR
Arkansas(3/10/2022)
RR
California(9/3/2013)
RR
Colorado(9/3/2013)
RR
Connecticut(8/22/2019)
RR
Delaware(1/2/2025)
RR
District of Columbia(9/3/2013)
RR
Florida(9/3/2013)
RR
Georgia(9/3/2013)
RR
Hawaii(1/2/2025)
RR
Idaho(9/3/2013)
RR
Illinois(9/3/2013)
RR
Indiana(9/3/2013)
RR
Iowa(10/11/2019)
RR
Kansas(9/3/2013)
RR
Kentucky(9/3/2013)
IAR
Kentucky(6/29/2023)
RR
Louisiana(9/3/2013)
RR
Maryland(9/3/2013)
RR
Massachusetts(2/21/2024)
RR
Michigan(11/20/2020)
RR
Minnesota(9/3/2013)
RR
Missouri(9/3/2013)
RR
Montana(7/3/2024)
RR
New Jersey(9/3/2013)
RR
New Mexico(9/3/2013)
RR
New York(9/3/2013)
RR
North Carolina(9/3/2013)
RR
Ohio(9/3/2013)
RR
Oklahoma(9/3/2013)
RR
Oregon(9/3/2013)
RR
Pennsylvania(9/3/2013)
RR
South Carolina(9/3/2013)
RR
South Dakota(5/21/2024)
RR
Tennessee(9/3/2013)
RR
Texas(9/3/2013)
IAR
Texas(6/29/2023)
RR
Vermont(9/3/2013)
RR
Virginia(9/3/2013)
RR
Washington(9/3/2013)
RR
West Virginia(4/3/2025)
RR
Wisconsin(9/3/2013)
RR
Wyoming(1/2/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Louisville, KY 40223TRUST BUT VERIFY
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