Stephen Raymond

CETERA INVESTMENT ADVISERS LLC

PEABODY, MA

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CRD#: 3206764

Professional summary

Stephen Raymond is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Peabody, Massachusetts and CETERA WEALTH SERVICES, LLC located in Peabody, Massachusetts.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Stephen has worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 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: 10/1999 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 ANNUITIES AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: RAYMOND WEALTH MANAGEMENT, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 09/2022 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Raymond'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 400 Tradecenter Ste. 5900, Woburn, MA 01801

RIA

CRD#: 105644

PEABODY, MA

Current

September 30, 2022 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

PEABODY, MA

Past

October 3, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Peabody, MA

Past

June 22, 2012 - October 24, 2022

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

IRVINGTON, NY

Past

June 20, 2012 - October 24, 2022

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

IRVINGTON, NY

Past

March 19, 2010 - June 12, 2012

BOLTON SECURITIES CORPORATION

RIA

CRD#: 129376

MALDEN, MA

Past

March 3, 2010 - June 12, 2012

BOLTON GLOBAL CAPITAL

CRD#: 15650

MALDEN, MA

Past

March 31, 2009 - March 3, 2010

HARRISDIRECT LLC

RIA

CRD#: 42159

ARLINGTON, VA

Past

May 3, 2005 - March 3, 2010

E*TRADE SECURITIES LLC

CRD#: 29106

BOSTON, MA

Past

October 20, 2004 - May 20, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

September 25, 2003 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

September 16, 2002 - September 2, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 3, 1999 - July 26, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

Arizona
(9/30/2022)

Connecticut
(9/30/2022)

Florida
(9/30/2022)

Georgia
(9/30/2022)

Maine
(9/30/2022)

Massachusetts
(9/30/2022)

IAR

Massachusetts
(6/29/2023)

New Hampshire
(9/30/2022)

New Jersey
(9/30/2022)

New York
(9/30/2022)

North Carolina
(9/30/2022)

Rhode Island
(9/30/2022)

South Carolina
(9/30/2022)

Vermont
(9/30/2022)

West Virginia
(10/17/2025)

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: 3/27/2009

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/21/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/22/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/2/1999

General Securities Representative 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

Stephen Raymond

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Raymond's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

BOLTON SECURITIES CORPORATION

BOLTON GLOBAL CAPITAL

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/27/2009

Series 65

Date: 7/6/1999

Series 63

Date: 6/21/1999

SIE

Date: 10/1/2018

Series 31

Date: 1/22/2001

Series 7

Date: 6/2/1999

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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