SD
Steven H. Degraff
CETERA INVESTMENT ADVISERS LLC
GROTON, CT 06357
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CRD#: 4649473
SD
Professional summary
Steven H Degraff, who also goes by Steve Degraff, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Groton, Connecticut and CETERA WEALTH SERVICES, LLC located in Groton, Connecticut.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Steven has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Degraff
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: 7/2003 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE: 2. NAME OF OTHER BUSINESS: WOMEN AND FAMILY LIFE CENTER INVESTMENT RELATED: NO ADDRESS: 96 FAIR ST., GUILFORD, CT 06437 NATURE OF BUSINESS: TO PROVIDE ASSISTANCE TO WOMAN AND FAMILIES, IN THE FORM OF COUNSELLING ON FINANCIAL, LEGAL AND ABUSE MATTERS. START DATE: 8/2017 POSITION/TITLE/RELATIONSHIP: COUNSELLING APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: I PROVIDE FINANCIAL CONSULTS PRO-BONO TO THOSE IN NEED THROUGH THE CENTER. THESE CONSIST OF SIMPLE BUDGETARY DISCUSSION AND DO NOT INCLUDE ANY DISCUSSIONS ON TAXES, PRODUCTS OR SERVICES; 3. NAME OF OTHER BUSINESS: GATEWAY COMMUNITY COLLEGE INVESTMENT RELATED: NO ADDRESS: 20 CHURCH ST, NEW HAVEN, CT 06510 NATURE OF BUSINESS: TEACHING, COMMUNITY COLLEGE START DATE: 12/2017 POSITION/TITLE/RELATIONSHIP: PART-TIME TEACHER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: PART-TIME TEACHER; 4. NAME OF OTHER BUSINESS: AEGIS BENEFITS PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TO OFFER HEALTH INSURANCE BENEFITS START DATE: 5/2016 POSITION/TITLE/RELATIONSHIP: ADVISOR APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: ADVISOR; 5. NAME OF OTHER BUSINESS: DEGRAFF FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES PRACTICE START DATE: 1/2021 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE INVESTMENT AND INSURANCE SERVICES UNDER THIS DBA AS AN INDEPENDENT CONTRACTOR FOR CETERA; 6. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 8/2024; POSITION/TITLE/RELATIONSHIP: LANDLORD; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RENT OFFICE SPACE TO TENANT;
CRS (Client Relationship Summary) - RIA
Click below to view Steven H Degraff'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 495 Gold Star Highway Suite 211, Groton, CT 06357RIA
CRD#: 105644
GROTON, CT
Current
February 15, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 495 Gold Star Highway Suite 211, Groton, CT 06357BD
CRD#: 13572
Groton, CT
Past
February 15, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Groton, CT
Past
April 29, 2016 - February 16, 2023
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
GROTON, CT
Past
April 29, 2016 - February 16, 2023
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
GROTON, CT
Past
July 15, 2003 - May 3, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
NEW LONDON, CT
Past
April 17, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW LONDON, CT
Past
April 17, 2003 - May 3, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
NEW LONDON, CT
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(2/15/2023)
RR
Connecticut(2/15/2023)
IAR
Connecticut(6/29/2023)
RR
Florida(2/15/2023)
RR
Idaho(2/15/2023)
RR
Maine(2/15/2023)
RR
Massachusetts(2/15/2023)
RR
New York(2/15/2023)
RR
Rhode Island(2/15/2023)
RR
Texas(7/29/2025)
IAR
Texas(7/30/2025)
RR
West Virginia(2/15/2023)
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Groton, CT 06357TRUST BUT VERIFY
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