SH
Stephen R. Holt
CETERA INVESTMENT ADVISERS LLC
ANNAPOLIS, MD
Some features on this profile are disabled
CRD#: 5326234
SH
Professional summary
Stephen R Holt, who also goes by Stephen Holt, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Annapolis, Maryland and CETERA WEALTH SERVICES, LLC located in Annapolis, Maryland.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Stephen has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Holt
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: PREMIER PLANNING GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2007 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: OFFER DISABILITY, LONG TERM CARE AND LIFE INSURANCE TO INDIVIDUALS AND BUSINESS OWNERS (2) NAME OF OTHER BUSINESS: PREMIER PLANNING GROUP, INC. DBA PREMIER PLANNING WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 10/2019 POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: LIFE & ANNUITY PROCESSING; CASE MANAGEMENT (3) NAME OF OTHER BUSINESS: ANNE ARUNDEL COUNTY ESTATE PLANNING COUNCIL INVESTMENT RELATED: NO ADDRESS: 914 BAY RIDGE RD, STE 220, ANNAPOLIS, MD 21043 NATURE OF BUSINESS: CHARITY; NON-PROFIT START DATE: 08/2016 POSITION/TITLE/RELATIONSHIP: EXECUTIVE PLANNING COMMITTEE MEMBER APX NUMBER OF HOURS PER WEEK: <1 APX NUMBER OF HOURS DURING TRADING HOURS: <1 BRIEF DESCRIPTION OF DUTIES: FACILITATE GROWTH OF THE ORGANIZATION, HELP PLAN MEMBERSHIP EVENTS (4) NAME OF OTHER BUSINESS: MARYLAND SPORTSMAN FOUNDATION INVESTMENT RELATED: NO ADDRESS: P.O. BOX 6395, ELLICOT CITY, MD 21042 NATURE OF BUSINESS: CHARITY; NON-PROFIT START DATE: 08/2016 POSITION/TITLE/RELATIONSHIP: EXECUTIVE PLANNING COMMITTEE MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: <1 BRIEF DESCRIPTION OF DUTIES: MEET TO DISCUSS WAY OF BUILDING OUR GROUP, INCREASING MEMBERSHIP, AND HAVING A POLITICAL IMPACT FOR MARYLAND SPORTSMAN (5) NAME OF OTHER BUSINESS: COMMUNITY FOUNDATION OF ANNE ARUNDEL COUNTY INVESTMENT RELATED: NO ADDRESS: 914 BAY RIDGE RD, STE 220, ANNAPOLIS, MD 21043 NATURE OF BUSINESS: CHARITY; NON-PROFIT START DATE: 08/2016 POSITION/TITLE/RELATIONSHIP: ASSET MANAGEMENT COMMITTEE MEMBER APX NUMBER OF HOURS PER WEEK: <1 APX NUMBER OF HOURS DURING TRADING HOURS: <1 BRIEF DESCRIPTION OF DUTIES: HELP OVERSEE AND PROVIDE INSIGHT AND INPUT REGARDING THE INVESTMENT ACCOUNT OF THE ORGANIZATION (6) NAME OF OTHER BUSINESS: FRIENDS OF THE ANNAPOLIS SYMPHONY ORCHESTRA INVESTMENT RELATED: NO ADDRESS: 801 CHASE ST, SUITE 204, ANNAPOLIS, MD 21401 NATURE OF BUSINESS: NON-PROFIT START DATE: 11/2019 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: <1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MANAGE THE ORGANIZATION ; (7) NAME OF OTHER BUSINESS: ANNE ARUNDEL COUNTY PUBLIC LIBRARY FOUNDATION ; INVESTMENT RELATED: NO ; ADDRESS: 5 TRUMAN PARKWAY, ANNAPOLIS, MD 21401 ; NATURE OF BUSINESS: FOUNDATION ; START DATE: 03/2021 ; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: DISCUSS WHAT PROGRAMS THE LIBRARIES NEED ASSISTANCE WITH AND WHAT TYPE OF FUNDRAISING ACTIVITIES CAN BE IMPLEMENTED ;
CRS (Client Relationship Summary) - RIA
Click below to view Stephen R Holt'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 #2: 101 Annapolis Street, Annapolis, MD 21401RIA
CRD#: 105644
ANNAPOLIS, MD
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 175 Admiral Cochrane Drive, Suite 203, Annapolis, MD 21401BD
CRD#: 13572
ANNAPOLIS, MD
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
October 16, 2013 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
ANNAPOLIS, MD
Past
October 16, 2013 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
ANNAPOLIS, MD
Past
November 12, 2012 - November 15, 2013
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
ANNAPOLIS, MD
Past
November 12, 2012 - November 15, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
ANNAPOLIS, MD
Past
August 18, 2009 - November 26, 2012
OSAIC FS, INC.
RIA
CRD#: 3870
ANNAPOLIS, MD
Past
May 19, 2008 - November 26, 2012
OSAIC FS, INC.
BD
CRD#: 3870
ANNAPOLIS, MD
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
Arkansas(9/20/2019)
RR
California(9/20/2019)
RR
Colorado(9/20/2019)
RR
Connecticut(9/20/2019)
RR
Delaware(9/20/2019)
RR
District of Columbia(3/11/2020)
RR
Florida(9/21/2019)
RR
Georgia(9/20/2019)
RR
Hawaii(9/20/2019)
RR
Illinois(9/20/2019)
RR
Kentucky(4/21/2021)
RR
Maine(9/20/2019)
RR
Maryland(9/20/2019)
IAR
Maryland(6/29/2023)
RR
Massachusetts(9/20/2019)
RR
Nebraska(10/8/2021)
RR
Nevada(9/20/2019)
RR
New Hampshire(10/8/2021)
RR
New Jersey(9/20/2019)
RR
New York(9/20/2019)
RR
North Carolina(9/20/2019)
RR
Oregon(9/20/2019)
RR
Pennsylvania(9/20/2019)
RR
South Carolina(7/8/2021)
RR
Tennessee(8/29/2025)
RR
Virginia(9/20/2019)
RR
Washington(9/20/2019)
RR
West Virginia(7/19/2021)
RR
Wyoming(10/17/2024)
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.
