AH
Alan J. Hartstone
CETERA INVESTMENT ADVISERS LLC
BOSTON, MA 02111
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CRD#: 2677896
AH
Professional summary
Alan Jeffrey Hartstone is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Boston, Massachusetts and CETERA WEALTH SERVICES, LLC located in Boston, Massachusetts.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Alan has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 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) Guardian Life Insurance~'NIR'~1101 Worcester Road~Framingham~MA~01701~Insurance Agent~Agent~5/7/2007~2hrs~2hrs~This is an insurance company that offers whole life, term life, and disability insurance for which approximately 50% of my time related to this particular business is spent selling these products and approximately 50% is related to answering client questions and doing illustrations. 2) GRADIENT FINANCIAL POSITION: Agent NATURE: Gradient is an IMO and they are the sales arm for independent agents to sell annuity products via Sentinel Security Life and SILAC Insurance Company. Through Gradient I have been appointed with Sentinel and SILAC. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 09/13/2021 ADDRESS: 1 Avery Street, Unit 15F, Boston MA 02111, DESCRIPTION: I have the ability to provide access for my clients to Sentinel and SILAC annuity products as Avantax does not have selling agreements with these entities. 3) ASCENT TECHNOLOGY, INC. POSITION: Personal/Business Services NATURE: Computer Consulting/Services/Development INVESTMENT RELATED: No NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 90 START DATE: 05/16/1994 ADDRESS: 101 Federal Street, 19th Floor, Boston MA 02110, DESCRIPTION: I am the company's Chief Financial Officer. I perform accounting, tax, contract admin, and HR functions primarily. 4) Hartstone Entertainment, LLC; Partner/General Partner; This business is an LLC that holds a minority ownership interest in a Double "AA" professional Baseball Team located in Richmond, VA; NIR; 0; 01/20/2005; 1 Avery Street , Unit 15F Boston MA 02111; I am the Manager of Hartstone Entertainment LLC. Approximately 95% of my time for this business activity is associated with handling the accounting and providing the requested information to the tax preparer each year who does the taxes for the LLC. Approximately 5% of my time associated with this business activity is associated with listening to or understanding new business opportunities associated with professional sports. 5) Hartstone Business and Financial Services; Owner/Sole Proprietor; Accounting Services/Tax Preparation; NIR; 4; 05/16/1994; 1 Avery Street, Unit 15F Boston MA 02111; I provide tax and accounting services for individuals and businesses approximately 20% of the time spent on this business. I provide business consulting services to small and emerging businesses as well as established businesses to assist in setting up and structuring the company for accountingbenefitsand operational needs approximately 80% of the time spent on this business.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Jeffrey Hartstone'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: 1 Avery Street Unit 15f, Boston, MA 02111Office #2: 51 Summersea Rd., Mashpee, MA 02649RIA
CRD#: 105644
BOSTON, MA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Boston, MA
Past
January 1, 2000 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Boston, MA
Past
October 12, 1998 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Boston, MA
Past
December 19, 1995 - October 20, 1998
HAPOALIM SECURITIES USA, INC.
BD
CRD#: 266
NEW YORK, 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
Florida(9/5/2025)
RR
Illinois(9/5/2025)
RR
Maine(9/5/2025)
RR
Massachusetts(9/5/2025)
IAR
Massachusetts(9/5/2025)
RR
Missouri(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New Jersey(11/11/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Rhode Island(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Vermont(9/5/2025)
RR
Virginia(9/5/2025)
RR
Wisconsin(9/18/2025)
Exams
State Security Law Exam
State Security Law 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Boston, MA 02111TRUST BUT VERIFY
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