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Stuart Stein
CETERA INVESTMENT ADVISERS LLC
HAUPPAUGE, NY 11788
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CRD#: 1135575
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Professional summary
Stuart Stein is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hauppauge, New York and CETERA WEALTH SERVICES, LLC located in Hauppauge, New York.
Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Stuart has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) PROFESSIONAL GROUP PLANS, INC. POSITION: AGENT NATURE: Employee benefits such as Health and Disability Insurance. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/02/1993 ADDRESS: 1300 VETERANS HIGHWAY, SUITE 120, HAUPPAUGE NY 11788, United States DESCRIPTION: MEETING WITH CLIENTS, FINDING INSURANCE PRODUCTS NEEDS AND PROVIDING THE BEST OPTIONS 2) INSURANCE SALES - ANNUCO POSITION: Agent NATURE: Sales of fixed life insurance to retail and commercial customers. INVESTMENT RELATED: No NUMBER OF HOURS: 7 SECURITIES TRADING HOURS: 7 START DATE: 07/01/2021 ADDRESS: 1300 Vets Hwy, Suite 120, Hauppauge NY 11788, United States DESCRIPTION: Meet with clients, determine appropriate products that suit their needs. 3) S&P ASSOCIATES OF LI, INC. DBA S&P FINANCIAL SERVICES AND DBA S&P FINANCIAL POSITION: FINANCIAL ADVISOR NATURE: I WILL OFFER INVESTMENT PLANNING, RETIREMENT PLANNING, ESTATE PLANNING, AND FINANCIAL PLANNING SERVICES UNDER THIS DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 11/30/2023 ADDRESS: 1300 VETERANS MEMORIAL HWY, SUITE 120, HAUPPAUGE NY 11788, United States DESCRIPTION: MEET WITH CLIENTS AND PROVIDE INVESTMENT GUIDANCE, REVIEW INVESTMENT PERFORMANCE, HELP TO CHOOSE APPROPRIATE INVESTMENTS THAT ALIGN WITH THE CLIENT RISK TOLERANCE AND OBJECTIVES, ONGOING MONITORING OF CLIENT PORTFOLIO.
CRS (Client Relationship Summary) - RIA
Click below to view Stuart Stein's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1300 Veterans Memorial Hwy Suite 310, Hauppauge, NY 11788Office #2: 888 Veterans Memorial Highway Suite 210, Hauppauge, NY 11788RIA
CRD#: 105644
HAUPPAUGE, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1300 Veterans Memorial Hwy Suite 120, Hauppauge, NY 11788Office #2: 888 Veterans Memorial Highway Suite 220, Hauppauge, NY 11788BD
CRD#: 13572
Hauppauge, NY
Past
December 15, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Hauppauge, NY
Past
December 15, 2023 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Hauppauge, NY
Past
January 8, 2020 - December 18, 2023
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
May 3, 2017 - December 18, 2023
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
HOLBROOK, NY
Past
March 17, 2016 - August 19, 2016
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
HAUPPAUGE, NY
Past
June 8, 1983 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
HAUPPAUGE, NY
Past
June 8, 1983 - February 8, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
HAUPPAUGE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Delaware(9/5/2025)
RR
District of Columbia(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Kansas(9/5/2025)
RR
Kentucky(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Hauppauge, NY 11788TRUST BUT VERIFY
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