Steven Scott Richardson

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 08/2022 → Present
  Commonwealth Capital Management, Llc
  Louisville, KY
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 07/2023 → Present
  Commonwealth Capital Management Realty, Llc
  Louisville, KY

Previous Registrations

• 2011-09-29 → 2013-09-03
  Walnut Street Securities, Inc.
  Louisville, KY
  Oklahoma City, OK
• 1996-06-14 → 2003-01-28
  Nathan & Lewis Securities, Inc.
  Louisville, KY

Other Businesses

1. INDEPENDENT INSURANCE AGENT, SELLING LTC, THROUGH COMMONWEALTH CAPITAL MANAGEMENT, LLC, FOR 2HRS/WK DURING SECURITIES TRADING & 0HRS/WKND & EVENINGS, SINCE 9/2013; 2. BEACHWAY PROPERTIES, LLC, MINORITY OWNER, RENTAL PROPERTIES, FOR 2HRS/WK DURING SECURITIES TRADING & 0HRS/WKND & EVENINGS, SINCE 3/2012, 3.NAME OF OTHER BUSINESS: COMMONWEALTH CAPITAL MANAGEMENT, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 8/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40-50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4. NORTARY PUBLIC, FOR 0HRS/WK & WKND, SINCE 6/2010; 5. SYCAMORE RIDGE HOA, NOT INVESTMENT RELATED, SAME AS RESIDENTIAL ADDRESS, HOMEOWNER/SUBDIVISION ACTIVITY, START 09/10/2014, 1HR/WK (NON-TRADING HOURS), PRESIDENT; 6. NAME OF OTHER BUSINESS: COMMONWEALTH CAPITAL MANAGEMENT REALTY, LLC; INVESTMENT RELATED: NO; ADDRESS: 1913 EGMONT RIDGE WAY, LOUISVILLE, KY 40245; NATURE OF BUSINESS: RENTAL PROPERTIES; START DATE: 7/2023; TITLE: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 2-3; APX NUMBER OF HOURS DURING TRADING HOURS: 2-3; BRIEF DESCRIPTION OF DUTIES: FIND INVESTMENT & RENTAL PROPERTIES FOR SALE, BOOK KEEPING, & TALK WITH PROPERTY MANAGER;

Exams

• S63 Uniform Securities Agent State Law Examination
  1983-09-06

Designations

• Certified Financial Planner

Other Names

• Scott Richardson