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Stephen Marc Plavin

Cetera Investment Advisers LLC

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About Stephen Marc Plavin

Stephen Marc Plavin is an Investment Advisor Representative who has been in the securities industry since July 9, 1997. Stephen is currently registered with Cetera Investment Advisers LLC. Stephen was previously registered with HOCHMAN & BAKER SECURITIES, INC.. Stephen holds the following licenses: Series 63, Series 65, Series 7 and SIE. Stephen also has a partnership in KAPLAN PLAVIN & STEINHARDT, LLP, a firm that provides tax and accounting services.

Firm Information

Stephen Plavin is currently registered with Cetera Investment Advisers LLC. Cetera Investment Advisers LLC is a large financial advisory firm with over 6,600 registered representatives and investment advisor representatives. Headquartered in Schaumburg, Illinois, Cetera provides a wide range of financial services, including financial planning, portfolio management, and pension consulting. The firm manages over $104 billion in assets and serves a diverse client base, including individuals, businesses, charitable organizations, and pension plans.

$104.47B

Assets Under Management

16,618

Total Clients

7,280

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Stephen Plavin’s Registration & Firm History

FL

01/27/2005 - Present

Cetera Investment Advisers LLC (PLANTATION FL)

CT

07/10/1997 - 06/30/2004

HOCHMAN & BAKER SECURITIES, INC. (STAMFORD CT)

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Licenses & Designations

IA

Issued 8/23/2004

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 7/1/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 6/24/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen Marc Plavin.
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