Richard Max Steele

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

• 09/1999 → 09/2025
  Avantax Investment Services, Inc.
  Bellingham, WA
• 02/2001 → 09/2025
  Avantax Advisory Services
  Bellingham, WA
• 10/2011 → Present
  Steele Financial Services, Inc.
  Bellingham, WA
• 06/2013 → 09/2025
  Avantax Insurance Services, Llc
  Bellingham, WA
• 10/1999 → Present
  Steele Financial Services, Inc.
  Bellingham, WA
• 09/2025 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2001-02-27 → 2025-09-05
  Avantax Advisory Services
  Bellingham, WA

Other Businesses

1) Steele Financial Services, Inc.~'NIR'~119 Grand Ave, Ste A~Bellingham~WA~98225~Accounting Services/Tax Preparation~Owner~10/1/1999~167hrs~86hrs~Tax preparation, Tax planning, financial planning 2) Ruvara Marimba Ensemble~'NIR'~2821 Cody Avenue~Bellingham~WA~98225~Other~Owner~8/30/2012~10hrs~0hrs~I play hosho and mbira and help transport instruments for some performances. 3) BELLINGHAM UNITARIAN FELLOWSHIP POSITION: Stewardship Chair NATURE: I lead a team of 4 other members of my church, Bellingham Unitarian Fellowship. Our role is to educate church members on stewardship, coordinate and oversee the annual pledge drive. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2022; 1207 Ellsworth Street, Bellingham WA 98225; As coordinator, I receive training from our national organization - UUA. I train pledge canvassers. Pledge canvassers meet with members and friends of our church to encourage making annual pledges. I also offer educational sessions throughout the church year to encourage generosity.

Exams

• S63 Uniform Securities Agent State Law Examination
  1999-09-23

Designations

• Certified Financial Planner
• Personal Financial Specialist

Other Names

• Richard M Steele
• Jim Max Steele