Steven J. Rudnyai

CETERA INVESTMENT ADVISERS LLC

TOPSFIELD, MA

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CRD#: 1845946

Professional summary

Steven John Rudnyai, who also goes by Steven Rudnyai, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Topsfield, Massachusetts and CETERA ADVISORS LLC located in Topsfield, Massachusetts.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Steven has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven Rudnyai

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. 285 EAST SHORE RD. MORRIS, CT 06758. RENTAL OF SUMMER HOME. OWNER. START DATE 5/1/2012. HRS/MONTH:1. HRS/TRADING:1 2. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: 285 E SHORE RD, MORRIS, CT 06756; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 1/2023 ; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0.5; BRIEF DESCRIPTION OF DUTIES: SEASONAL COTTAGE RENTAL;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven John Rudnyai'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

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

TOPSFIELD, MA

Current

October 3, 2016 - Present

CETERA ADVISORS LLC

CRD#: 10299

Topsfield, MA

Past

October 3, 2016 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

April 1, 2011 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

TOPSFIELD, MA

Past

March 18, 2011 - October 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

TOPSFIELD, MA

Past

April 6, 2009 - March 9, 2011

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

BURLINGTON, MA

Past

April 7, 2006 - March 9, 2011

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

BURLINGTON, MA

Past

March 31, 2003 - April 10, 2006

LEERINK PARTNERS LLC

CRD#: 39011

BOSTON, MA

Past

August 25, 2000 - March 31, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 18, 1996 - September 13, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 28, 1994 - January 26, 1996

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 19, 1989 - July 13, 1994

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 10, 1988 - June 6, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

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

Colorado
(7/12/2017)

Connecticut
(10/3/2016)

Florida
(10/25/2024)

Maine
(10/3/2016)

Massachusetts
(10/3/2016)

IAR

Massachusetts
(3/21/2024)

Mississippi
(10/3/2016)

New York
(10/3/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/3/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/21/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/20/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/4/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/6/2006

General Securities Sales Supervisor - Options Module 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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Firm Stability Insights

Steven J. Rudnyai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven John Rudnyai's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

LEERINK PARTNERS LLC

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

J.P. MORGAN SECURITIES LLC

LEHMAN BROTHERS INC.

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/3/2009

Series 63

Date: 6/21/1988

SIE

Date: 10/1/2018

Series 3

Date: 9/20/1988

Series 7

Date: 8/20/1988

Series 10

Date: 8/4/2006

Series 9

Date: 7/6/2006

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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