RS
Ray A. Stephens
CETERA INVESTMENT ADVISERS LLC
LAMESA, TX 79331
Some features on this profile are disabled
CRD#: 4880760
RS
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.
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) S & C OIL CO POSITION: PRESIDENT NATURE: WHOLESALE AND RETAIL FUEL DISTRIBUTOR INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1985 ADDRESS: 212 S HOUSTON AVE, LAMESA TX 79331, United States DESCRIPTION: I AM THE OWNER. I ALSO ORDER FUEL FOR BOTH WHOLESALE AND RETAIL OPERATIONS. I COMPLETE THE STATE AND FEDERAL FUEL TAX RETURNS FOR THE BUSINESS. I ASSIST WITH THE MONTHLY ACCOUNTS RECEIVABLE AND BILLING PREPARATION. 2) S E & RAY STEPHENS FARMS; POSITION: PARTNER NATURE: Family Farm Partnership INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2000 ADDRESS: Lamesa TX 79331, US; Family Farm Partnership 3) STEPHENS,STEPHENS, & TELCHIK, PC; POSITION: CPA/SHAREHOLDER NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/1985; CPA firm. 4) MARGARET & RAY STEPHENS FARMS; PARTNER NATURE: Family Farm Partnership INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2004 ADDRESS: Lamesa TX 79331, US: Family Farm Partnership. 5) SST WEALTH MANAGEMENT; OWNER NATURE: WEALTH MANAGEMENT SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 2 START DATE: 11/01/2005; Provide financial services to clients.
CRS (Client Relationship Summary) - RIA
Click below to view Ray A Stephens'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 212 S. Houston Ave, Lamesa, TX 79331RIA
CRD#: 105644
LAMESA, TX
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 212 S. Houston Ave, Lamesa, TX 79331BD
CRD#: 13572
LAMESA, TX
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
LAMESA, TX
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
LAMESA, TX
Past
October 11, 2005 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
LAMESA, TX
Past
January 24, 2005 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
LAMESA, TX
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
Colorado(9/5/2025)
RR
New Mexico(9/5/2025)
RR
North Carolina(9/18/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
