SP
Stephen P. Piotte
CETERA INVESTMENT ADVISERS LLC
STOW, MA 01775
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CRD#: 4888419
SP
Professional summary
Stephen Paul Piotte is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Stow, Massachusetts and CETERA WEALTH SERVICES, LLC located in Stow, Massachusetts.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Stephen has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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) CONSTELLATION FINANCIAL & WEALTH MANAGEMENT SERVICES POSITION: CEO NATURE: FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 160 START DATE: 10/01/2008 ADDRESS: Acton MA , United States DESCRIPTION: Provide financial services to clients. 2) CASTLE KEEP LLC POSITION: Single Member NATURE: No business. Just my own single member LLC I own the office condo in the name of INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2004 ADDRESS: 179 Great Rd, Acton MA 01720, United States DESCRIPTION: move money for rent from the business account to the LLC account 3)PIOTTE ENTERPRISES, INC DBA CONSTELLATION FINANCIAL (FORMERLY PIOTTE ENTERPRISES INC DBA MANAGEMENT CONSULTING SERVICES) POSITION: CEO NATURE: Financial Advisor only INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 04/01/2003 ADDRESS: 179 Great Road, Suite 210, Acton MA 01720, United States DESCRIPTION: Piotte Enterprises, Inc. is the incorporated entity which we conduct Wealth Management activities now that the tax business is being sold off 4) STEPHEN PIOTTE EA POSITION: Owner NATURE: Income Tax Preparation INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/01/2022 ADDRESS: 132 Great Road, Suite 102, Stow MA 01775, United States DESCRIPTION: Preparer/Owner 5) KIPPINS CREATIONS POSITION: Assistant NATURE: My sister started a craft company and I am joint on her bank account so I can help her with bank and online management remotely INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/22/2023 ADDRESS: 1019 Bluegrass Drive, Groveland FL 34737, United States DESCRIPTION: I just watch her bank account and credit card activity because she is computer illiterate. But I am a joint account holder with her bank account.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Paul Piotte'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: 132 Great Road Suite 102, Stow, MA 01775RIA
CRD#: 105644
STOW, MA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 132 Great Road Suite 102, Stow, MA 01775BD
CRD#: 13572
STOW, MA
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
STOW, MA
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
STOW, MA
Past
October 28, 2008 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
ACTON, MA
Past
June 12, 2008 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
ACTON, MA
Past
January 25, 2005 - June 26, 2008
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
ACTON, 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
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Kentucky(9/5/2025)
RR
Maine(9/5/2025)
RR
Massachusetts(9/5/2025)
IAR
Massachusetts(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New York(9/5/2025)
RR
Rhode Island(9/5/2025)
RR
South Carolina(9/18/2025)
RR
Virginia(9/18/2025)
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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Stow, MA 01775TRUST BUT VERIFY
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