KS
Kevin R. Stevens
CETERA INVESTMENT ADVISERS LLC
DUBUQUE, IA 52001
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CRD#: 2302167
KS
Professional summary
Kevin Richard Stevens, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dubuque, Iowa and CETERA WEALTH SERVICES, LLC located in Dubuque, Iowa.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Kevin has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
(dba) TRICOR, INC; Investment Related; Lancaster, WI; Insurance; Agent; Start Date 10/2002; 25 hours per month with those 1 hour occurring during trading hours; Sales and service of Life insurance; Education for TRICOR employees 401K. >> AREA RESIDENTIAL CARE; Non-Investment Related; Dubuque IA 52001; Residential Care; Board Member; Start Date 08/2008; 4 hours per month with none of those hours occurring during trading hours; Helps oversee programming and housing. >> DUBUQUE COUNTY; Non-Investment Related; Dubuque, IA; County Hospital; Board Trustee; Start Date 01/2013; 2 hours per month with all hours per month being during trading hours; Overseeing county nursing home property and attending monthly meetings to oversee physical assets and maintenance of Sunny Crest Manor which is a county nursing home property. >> POINTHOUSE LLC; Non-Investment Related; Dubuque, IA; Real Estate; President; Start Date 08/2019; 20 hours per month with no hours per month occurring during trading hours; Co-own, operate and maintain one home for short term rental.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Richard Stevens'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: 2012
Experience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 600 Star Brewery Drive Suite 110, Dubuque, IA 52001RIA
CRD#: 105644
DUBUQUE, IA
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 600 Star Brewery Drive Suite 110, Dubuque, IA 52001BD
CRD#: 13572
Dubuque, IA
Past
August 29, 2018 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Dubuque, IA
Past
May 13, 2003 - August 22, 2018
AVANTAX PLANNING PARTNERS, INC.
RIA
CRD#: 106237
DUBUQUE, IA
Past
November 12, 2002 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Dubuque, IA
Past
August 11, 1994 - October 15, 2002
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
December 21, 1992 - July 21, 1994
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Arizona(2/20/2025)
RR
California(2/20/2025)
RR
Colorado(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
RR
Idaho(2/20/2025)
RR
Illinois(2/20/2025)
RR
Indiana(2/20/2025)
RR
Iowa(2/20/2025)
IAR
Iowa(2/20/2025)
RR
Kansas(2/20/2025)
RR
Kentucky(2/20/2025)
RR
Michigan(2/20/2025)
RR
Minnesota(2/20/2025)
RR
Missouri(2/20/2025)
RR
Nebraska(2/20/2025)
RR
Oklahoma(2/20/2025)
RR
South Dakota(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(4/1/2025)
RR
Utah(2/20/2025)
RR
Washington(2/20/2025)
RR
Wisconsin(2/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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#: 105644Dubuque, IA 52001TRUST BUT VERIFY
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