SC
Stefan Cautino
CETERA INVESTMENT ADVISERS LLC
BRAINTREE, MA 02184
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CRD#: 6414016
SC
Professional summary
Stefan Cautino is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Braintree, Massachusetts and CETERA WEALTH SERVICES, LLC located in Braintree, Massachusetts.
Stefan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Stefan has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 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. NAME OF ENTITY :Driscoll Financial Group; Yes; 35 BRAINTREE HILL OFFICE PARK #309; BRAINTREE; MA; 02184; Financial Planning - DBA; Managing Partner; 4/13/2015; 160; 120; DBA for financial planning practice; 2.NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 35 BRAINTREE HILL OFFICE PARK STE 309; ARLINGTON; VA; 22201; Fixed insurance sales; independent Insurance Agent; 7/1/2015; 160; 120; sales of fixed insurance products; 3. NAME OF ENTITY: Stefan Cautino; Yes; 35 Braintree Hill Office Park, Suite 309; Braintree; MA; 02184; FINANCIAL SERVICES; Administrative Support OSJ Delegate; 1/2/2017; 160; 140; OSJ Delegate duties, answering calls, maintain electronic device log, update computers, troubleshoot computer/network/printer issues, train reps on new technology offerings by VFA; 4. NAME OF OTHER BUSINESS: EASTON YOUTH SOCCER LEAGUE, INVESTMENT RELATED: NO, ADDRESS: P.O. BOX 172, NORTH EASTON, MA 02110, NATURE OF BUSINESS: YOUTH SPORTS, START DATE: 01/2024, POSITION/TITLE/RELATIONSHIP: GENERAL BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: SUPPORT THE SOCCER LEAGUES, FUNDRAISING THROUGH SEEKING SPONSORSHIPS AND FUNDRAISING EVENTS; 5. NAME OF OTHER BUSINESS: DEDHAM COUNTRY DAY SCHOOL; INVESTMENT RELATED: NO; ADDRESS: 15 VINEYARD PLACE NORTH EASTON, MA 02356; NATURE OF BUSINESS: NON PROFIT; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: VOLUNTEER ANNUAL FUND AMBASSADOR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HELP RAISE FUNDS FOR THE SCHOOLS ANNUAL FUND;
CRS (Client Relationship Summary) - RIA
Click below to view Stefan Cautino'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: 35 Braintree Hill Office Park Ste 309, Braintree, MA 02184RIA
CRD#: 105644
BRAINTREE, MA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 35 Braintree Hill Office Park Ste 309, Braintree, MA 02184BD
CRD#: 13572
Braintree, MA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
April 17, 2015 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
BRAINTREE, MA
Past
November 20, 2014 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BRAINTREE, 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
Colorado(8/7/2024)
RR
Connecticut(6/9/2021)
RR
Delaware(6/9/2021)
RR
Florida(6/10/2021)
RR
Georgia(6/9/2021)
RR
Maine(6/9/2021)
RR
Maryland(6/9/2021)
RR
Massachusetts(6/9/2021)
IAR
Massachusetts(6/29/2023)
RR
Michigan(6/27/2025)
RR
Montana(6/9/2021)
RR
New Hampshire(6/9/2021)
RR
New Jersey(6/9/2021)
RR
New Mexico(6/9/2021)
RR
New York(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Pennsylvania(1/24/2025)
RR
Rhode Island(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Virginia(6/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Braintree, MA 02184TRUST BUT VERIFY
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