SD
Stephen Durso
CETERA INVESTMENT ADVISERS LLC
LONG BEACH, NY 11561
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CRD#: 2439583
SD
Professional summary
Stephen Durso, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Long Beach, New York and CETERA WEALTH SERVICES, LLC located in Long Beach, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Stephen has worked at 5 firms and has passed the 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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FIXED INSURANCE
START DATE: 02/2019
APX NUMBER OF HOURS PER WEEK: VARIES
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG-TERM CARE
2. NAME OF OTHER BUSINESS: NORTH RIDGE WEALTH PLANNING LLC
INVESTMENT RELATED: YES
ADDRESS: 1895 WALT WHITMAN ROAD, Melville, NY 11747
NATURE OF BUSINESS: FINANCIAL SERVICES
START DATE: 02/2019
POSITION/TITLE/RELATIONSHIP: ADVISOR - FINANCIAL SERVICES
APX NUMBER OF HOURS PER WEEK: 20-30
APX NUMBER OF HOURS DURING TRADING HOURS: 20-30
BRIEF DESCRIPTION OF DUTIES: ADVISOR - FINANCIAL SERVICES
3. . NAME OF OTHER BUSINESS: TAX PREPARATION
INVESTMENT RELATED: NO
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: TAX PREPARATION
POSITION/TITLE/RELATIONSHIP: TAX PREPARER
APX NUMBER OF HOURS PER WEEK: SEASONAL
APX NUMBER OF HOURS DURING TRADING HOURS: SEASONAL
BRIEF DESCRIPTION OF DUTIES: TAX PREPARER
4. NAME OF OTHER BUSINESS: SJB FINANCIAL MANAGEMENT;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: FINANCIAL SERVICES;
START DATE: 2/2019;
POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE;
APX NUMBER OF HOURS PER WEEK: 40;
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5;
BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Durso'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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 899 West Beech Street, Long Beach, NY 11561Office #2: 58 Jane Street S, Saratoga Springs, NY 12866RIA
CRD#: 105644
LONG BEACH, NY
Current
February 1, 2019 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
LONG BEACH, NY
Past
March 31, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Long Beach, NY
Past
May 31, 1996 - February 1, 2019
NORTH RIDGE SECURITIES CORP.
BD
CRD#: 27098
MANORVILLE, NY
Past
January 26, 1994 - September 25, 1995
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
January 26, 1994 - September 25, 1995
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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
Connecticut(11/14/2019)
RR
Florida(2/2/2019)
RR
Georgia(2/1/2019)
RR
Maryland(2/1/2019)
RR
Massachusetts(6/22/2022)
RR
New Jersey(2/1/2019)
RR
New York(2/1/2019)
IAR
New York(6/29/2023)
RR
North Carolina(1/8/2020)
RR
Pennsylvania(2/1/2019)
RR
Virginia(8/9/2022)
Exams
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
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.
