Ray A Stephens
Professional Summary
Ray A Stephens is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lamesa, Texas and CETERA WEALTH SERVICES, LLC located in Lamesa, Texas. Ray is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Ray has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
RBC CAPITAL MARKETS, LLC
PRINCIPAL SECURITIES, INC.
HORTER INVESTMENT MANAGEMENT, LLC
LPL FINANCIAL LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RBC CAPITAL MARKETS, LLC
PRINCIPAL SECURITIES, INC.
HORTER INVESTMENT MANAGEMENT, LLC
LPL FINANCIAL LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RBC CAPITAL MARKETS, LLC
PRINCIPAL SECURITIES, INC.
HORTER INVESTMENT MANAGEMENT, LLC
LPL FINANCIAL LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
PRINCIPAL SECURITIES, INC.
HORTER INVESTMENT MANAGEMENT, LLC
LPL FINANCIAL LLC
Years of Experience
21 years in the financial services industry
Current & Past Employments
Similar Advisors
RBC CAPITAL MARKETS, LLC
PRINCIPAL SECURITIES, INC.
HORTER INVESTMENT MANAGEMENT, LLC
LPL FINANCIAL LLC
Current Firm
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
Contact Information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096Phone Number
(310) 257-7880# of Employees
10,251SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
813,961AUM (Assets Under Management)
$256,813,748,739Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2026 | Cover Page | Report |
| 10/27/2025 | Cover Page | Report |
| 12/13/2024 | Cover Page | Report |
| 09/26/2023 | Cover Page | Report |
Similar Advisors
RBC CAPITAL MARKETS, LLC
PRINCIPAL SECURITIES, INC.
HORTER INVESTMENT MANAGEMENT, LLC
LPL FINANCIAL LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
PRINCIPAL SECURITIES, INC.
HORTER INVESTMENT MANAGEMENT, LLC
LPL FINANCIAL LLC
Primary Firm SEC Registration
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
State Registrations and Notice Filings
(9/5/2025)
(9/5/2025)
(9/18/2025)
(9/5/2025)
(9/5/2025)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
RBC CAPITAL MARKETS, LLC
PRINCIPAL SECURITIES, INC.
HORTER INVESTMENT MANAGEMENT, LLC
LPL FINANCIAL LLC
CRS (Client Relationship Summary) - RIA
Click below to view Ray A Stephens's CRS (Customer Relationship Summary).
Similar Advisors
RBC CAPITAL MARKETS, LLC
PRINCIPAL SECURITIES, INC.
HORTER INVESTMENT MANAGEMENT, LLC
LPL FINANCIAL LLC
