Steven Arthur Kay

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
CA	RA	APPROVED	2023-06-29
TX	RA	APPROVED_RES	2023-06-29

CA RA
APPROVED

Since 2023-06-29
TX RA
APPROVED_RES

Since 2023-06-29

Branch Locations

4115 Blackhawk Pla Cir Ste 100, Danville, CA 94506 • United States

Livermore, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
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
Cetera Wealth Services, Llc	El Segundo	CA	01/2013	Present
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present

01/2013 → Present

Cetera Wealth Services, Llc

El Segundo, CA
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2003-06-03 → 2008-08-13

Pension Planners Securities, Inc.

Danville, CA

Sacramento, CA

Sacramento, CA

Other Businesses

FIXED INSURANCE - LIFE AND HEALTH; STEVE KAY FINANCIAL, 4115 BLACKHAWK PLAZA CIRCLE #100, DANVILLE, CA 94506

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-04-02
S63	Uniform Securities Agent State Law Examination	1982-04-27

S65 Uniform Investment Adviser Law Examination

2001-04-02
S63 Uniform Securities Agent State Law Examination

1982-04-27

View on SEC IAPD

Current Employers

Cetera Investment Advisers Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews