Stephen William Richman
Investment Adviser Representative at Cetera Investment Advisers LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Stephen William Richman is an investment adviser representative with Cetera Investment Advisers LLC in Naples, FL, where they have been registered since 2024. They have worked in the securities industry since 1980 and have been registered with 5 firms, including Cetera Advisors LLC and Rockdale Associates, Inc. They have passed 5 industry qualification exams, including the Series 63 (state securities agent), Series 6 (investment company and variable products), and Series 26 (investment company and variable products principal). They are registered to provide investment advice in Florida, New Jersey, Pennsylvania, and Texas.
Registrations & licenses
- Investment adviser:
- Florida, New Jersey, Pennsylvania, Texas
- Broker:
22 states and territories
Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Maine, Maryland, Massachusetts, Michigan, Minnesota, Nevada, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Rockdale Associates, Inc.Feb 1998 – no end date reportedOcean, NJ
- Bolinger InsuranceJan 1996 – no end date reportedManasquan, NJ
- American UnitedJan 1990 – no end date reportedSpringfield, NJ
- Professional Group PlansJan 2009 – no end date reportedCranford, NJ
- Cetera Advisors LLCJan 2004 – no end date reportedDenver, CO
- Cetera Advisors, LLCJan 2004 – Nov 2017Denver, CO
- Cetera Investment AdvisersJan 2024 – no end date reportedSchaumburg, IL
- Cetera Investment Advisers LLCMar 2024 – no end date reportedNaples, FL
Official records & sources
Data as of June 29, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Cetera Investment Advisers LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Advisory services, investment advisory services, custody services, insurance agency services, sweep programs, and retirement planning resources, along with access to registered and alternative investment products.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 10,459
- Offices listed on AdvisorFinder:
- 27
- Main office:
- Schaumburg, IL
- SEC file number:
- 801-20406
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 13, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Stephen William Richman has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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