LS
Leslie E. Stevens
CETERA INVESTMENT ADVISERS LLC
AUBURN, ME 04210
Some features on this profile are disabled
CRD#: 2585283
LS
Professional summary
Leslie Earle Stevens, who also goes by Les Stevens, Sonny Stevens, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Auburn, Maine and CETERA ADVISORS LLC located in Auburn, Maine.
Leslie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Leslie has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Les Stevens | Sonny Stevens
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 REGISTERD LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 8/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE, DISABILITY, ANNUITIES, & LONG TERM CARE 2.NAME OF OTHER BUSINESS: HOUSE RENTAL AND FARM FIELD LEASE, INVESTMENT RELATED: NO, ADDRESS: 643 & 648 UPPER ST TURNER ME 04282, NATURE OF BUSINESS: REAL ESTATE RENTAL, START DATE: 12/2000, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF TRADING HOURS PER WEEK: 1, POSITION/TITLE/RELATIONSHIP: OWNER, BRIEF DESCRIPTION OF DUTIES: COLLECT RENT & MAINTAIN PROPERTY 3.NAME OF OTHER BUSINESS: LES, INC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FLOW THROUGH COMPANY FOR COMPENSATION, START DATE: 8/2005, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF TRADING HOURS PER WEEK: 1, POSITION/TITLE/RELATIONSHIP: OWNER, BRIEF DESCRIPTION OF DUTIES: MANAGER 4.NAME OF OTHER BUSINESS: ATLANTIC INVESTMENT ADVISORS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: SHARED OFFICE EXPENSES, START DATE: 9/1998, APX NUMBER OF HOURS PER WEEK: 0, APX NUMBER OF TRADING HOURS PER WEEK: 0, POSITION/TITLE/RELATIONSHIP: PART OWNER, BRIEF DESCRIPTION OF DUTIES: DBA 5.NAME OF OTHER BUSINESS: LES STEVENS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: DBA FOR WEBSITE, START DATE: 1/2016, APX NUMBER OF HOURS PER WEEK: 0, APX NUMBER OF TRADING HOURS PER WEEK: 0, POSITION/TITLE/RELATIONSHIP: OWNER, BRIEF DESCRIPTION OF DUTIES: WEBSITE FOR CLIENTS & PROSPECTS 6.NAME OF OTHER BUSINESS: GREATER LEWISTON INVESTMENT CLUB, INVESTMENT RELATED: NO, ADDRESS: 259 MINOT AVE AUBURN ME 04210, NATURE OF BUSINESS: REAL ESTATE INVESTMENT CLUB, START DATE: 9/1997, APX NUMBER OF HOURS PER WEEK: 0, APX NUMBER OF TRADING HOURS PER WEEK: 0, POSITION/TITLE/RELATIONSHIP: MEMBER, BRIEF DESCRIPTION OF DUTIES: PASSIVE INVOLVEMENT 7.NAME OF OTHER BUSINESS: LOOKING AHEAD CLUBHOUSE, INVESTMENT RELATED: NO, ADDRESS: MAIN ST LEWISTON, ME 04210, NATURE OF BUSINESS: NON PROFIT FOR MENTALLY & PHYSICALLY CHALLENGED, START DATE: 2014, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF TRADING HOURS PER WEEK: 1, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, BRIEF DESCRIPTION OF DUTIES: GENERAL BOARD DUTIES 8. NAME OF OTHER BUSINESS: LES STEVENS PERSONAL REAL ESTATE; INVESTMENT RELATED: NO; ADDRESS: 12 LONG POND DR LIVERMORE ME 02453; NATURE OF BUSINESS: REAL ESTATE; START DATE: 8/2020; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: SELLING LAND AND BUILDING; 9. NAME OF OTHER BUSINESS: LES STEVENS INVESTMENT RELATED: NO, ADDRESS: PEARL RD, TURNER, ME, 04282 NATURE OF BUSINESS: FARM LAND, START DATE:08/2022, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: COLLECT RENT FROM LAND RENTAL;
CRS (Client Relationship Summary) - RIA
Click below to view Leslie Earle 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®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 134 Main St, Auburn, ME 04210RIA
CRD#: 105644
AUBURN, ME
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 134 Main St, Auburn, ME 04210BD
CRD#: 10299
Auburn, ME
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
ESTERO, FL
Past
June 16, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
AUBURN, ME
Past
July 9, 2002 - June 16, 2005
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
AUBURN, ME
Past
May 29, 2002 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
AUBURN, ME
Past
March 22, 1996 - May 30, 2002
FFP SECURITIES, INC.
BD
CRD#: 16337
CHESTERFIELD, MO
Past
April 24, 1995 - April 3, 1996
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
April 24, 1995 - April 3, 1996
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
California(10/30/2024)
RR
Florida(10/3/2016)
RR
Maine(10/3/2016)
IAR
Maine(3/21/2024)
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
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.
