Stephen Raymond

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

• 06/2012 → 09/2022
  Planmember Securities Corporation
  Carpinteria, CA
• 09/2022 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 09/2022 → Present
  Raymond Wealth Management, Llc
  Peabody, MA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2012-06-22 → 2022-10-24
  Planmember Securities Corporation
  Irvington, NY
  Peabody, MA
  Peabody, MA
• 2010-03-19 → 2012-06-12
  Bolton Securities Corporation
  Malden, MA
  Bolton, MA
• 2009-03-31 → 2010-03-03
  Harrisdirect Llc
  Arlington, VA

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/1999 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS ANNUITIES AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: RAYMOND WEALTH MANAGEMENT, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 09/2022 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES

Exams

• S66 Uniform Combined State Law Examination
  2009-03-27
• S65 Uniform Investment Adviser Law Examination
  1999-07-06
• S63 Uniform Securities Agent State Law Examination
  1999-06-21