Stephen Marc Plavin

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2005-01-27

FL RA
APPROVED

Since 2005-01-27

Branch Locations

Plantation, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Kaplan, Plavin & Steinhardt, Llp	Tamarac	FL	01/1985	Present
Cetera Financial Specialists Llc	Schaumburg	IL	06/2004	Present
Cetera Investment Advisers Llc	Schaumburg	IL	01/2005	Present

01/1985 → Present

Kaplan, Plavin & Steinhardt, Llp

Tamarac, FL
06/2004 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
01/2005 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Other Businesses

1) KAPLAN PLAVIN & STEINHARDT, LLP; NON-INV REL; TAMARAC, FL; PARTNER; TAXES AND ACCOUNTING; START DATE 01/1985; 160HRS/MNTH DURING SECURITY TRADING HRS:

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-08-23
S63	Uniform Securities Agent State Law Examination	1997-07-01

S65 Uniform Investment Adviser Law Examination

2004-08-23
S63 Uniform Securities Agent State Law Examination

1997-07-01

View on SEC IAPD