Stuart J. Hawkins

CETERA INVESTMENT ADVISERS LLC

WEST HARTFORD, CT 06107

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CRD#: 2394909

Professional summary

Stuart John Hawkins, AIF®, CLU®, who also goes by Stuart J Hawkins, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Hartford, Connecticut and CETERA FINANCIAL SPECIALISTS LLC located in West Hartford, Connecticut.

Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Stuart has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stuart J Hawkins

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) FUTURE PLANNED LLC; SAME AS REGISTERED LOCATION; INVESTMENT RELATED; DBA FOR INVESTMENTS/WEALTH MANAGEMENT; FINANCIAL PROFESSIONAL; SINCE 8/2016; 200 HRS/MO 2) VARIOUS CARRIERS NON-INVESTMENT RELATED; AGENT; RECEIVE RENEWAL REVENUE ON LIFE INSURANCE CONTRACTS ; 40 HRS/MO SINCE 4/5/1990 3) FUTURES PLANNED BENEFIT CONSULTING; NON-INVESTMENT RELATED; ADDRESS SAME AS REGISTERED BRANCH; SPECIAL NEEDS CONSULTANT REGARDING GOV'T BENEFITS OF SPECIAL NEEDS CHILDREN; SINCE 8/2020; 20HRS/MO 4) PLAN OF CT; NON-INVESTMENT RELATED; WETHERSFIELD CT 06129; BOARD CHAIR OF NON-PROFIT SPECIAL NEEDS TRUST; SINCE 1/2010; 8HRS/MO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stuart John Hawkins's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

CLU^®

Chartered Life Underwriter

Experience

Current

May 13, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 15 North Main St Ste 101, West Hartford, CT 06107

RIA

CRD#: 105644

WEST HARTFORD, CT

Current

May 13, 2025 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 15 N Main St Ste 101, West Hartford, CT 06107

CRD#: 10358

WEST HARTFORD, CT

Past

July 7, 2016 - May 13, 2025

SPC

RIA

CRD#: 110692

West Hartford, CT

Past

July 7, 2016 - May 13, 2025

PARKLAND SECURITIES, LLC

CRD#: 115368

WEST HARTFORD, CT

Past

January 2, 2015 - July 18, 2016

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

WEST HARTFORD, CT

Past

January 2, 2015 - July 18, 2016

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

WEST HARTFORD, CT

Past

November 22, 2002 - January 2, 2015

NEW ENGLAND SECURITIES

RIA

CRD#: 615

WEST HARTFORD, CT

Past

September 24, 1993 - January 2, 2015

NEW ENGLAND SECURITIES

CRD#: 615

WEST HARTFORD, CT

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Colorado
(5/13/2025)

Connecticut
(5/13/2025)

IAR

Connecticut
(5/13/2025)

Massachusetts
(5/13/2025)

South Carolina
(5/13/2025)

Washington
(5/13/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/26/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/28/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/23/1993

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Stuart J. Hawkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stuart John Hawkins's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

SPC

PARKLAND SECURITIES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/26/1998

Series 63

Date: 1/28/1994

SIE

Date: 10/1/2018

Series 6

Date: 9/23/1993

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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