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SH

Stuart J. Hawkins

CETERA INVESTMENT ADVISERS
WEST HARTFORD, CT 06107
Some features on this profile are disabled
CRD#: 2394909
SH

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.
The advisor shows no other business activity.

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
BD
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

BD
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.

BD
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

BD
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".
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
Colorado
(5/13/2025)
RR
Connecticut
(5/13/2025)
IAR
Connecticut
(5/13/2025)
RR
Massachusetts
(5/13/2025)
RR
South Carolina
(5/13/2025)
RR
Washington
(5/13/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/26/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/28/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/23/1993
Investment Company Products/Variable Contracts Representative Examination
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)
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644West Hartford, CT 06107

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