SH
Stuart B. Haw
CETERA INVESTMENT ADVISERS LLC
BRADENTON, FL
Some features on this profile are disabled
CRD#: 2905167
SH
Professional summary
Stuart Bryan Haw is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bradenton, Florida and CETERA ADVISORS LLC located in Bradenton, Florida.
Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Stuart has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 22, Series 6 and Series 26 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.
NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES,
INVESTMENT RELATED: YES,
ADDRESS: SAME AS REGISTERD LOCATION,
NATURE OF BUSINESS: FIXED INSURANCE,
START DATE: 9/2016,
APX NUMBER OF HOURS PER WEEK: 40,
APX NUMBER OF TRADING HOURS PER WEEK: 32.5,
POSITION/TITLE/RELATIONSHIP: AGENT,
BRIEF DESCRIPTION OF DUTIES: LIFE, HEALTH, DISABILITIES, ANNUITIES, LONG TERM CARE, & TRAVEL;
NAME OF OTHER BUSINESS: RENTAL PROPERTY,
INVESTMENT RELATED: NO,
ADDRESS: 5495 SAMPLE WAY COLORADO SPRINGS, CO 80919,
NATURE OF BUSINESS: REAL ESTATE RENTAL,
START DATE: 10/2004,
APX NUMBER OF HOURS PER WEEK: 1,
APX NUMBER OF TRADING HOURS PER WEEK: 1,
POSITION/TITLE/RELATIONSHIP: 100% OWNER,
BRIEF DESCRIPTION OF DUTIES: DISCUSS PROPERTY CONDITION, REPAIRS, RENT, HOA WITH PROPERTY MANAGEMENT COMPANY;
NAME OF OTHER BUSINESS: INVESTORS WEST,
INVESTMENT RELATED: YES,
ADDRESS: 520 MOSSY BRANCH LANE, BRADENTON FL, 34212,
NATURE OF BUSINESS: DBA FOR FIXED INSURANCE,
START DATE: 9/1996,
APX NUMBER OF HOURS PER WEEK: 2,
APX NUMBER OF TRADING HOURS PER WEEK: 2,
POSITION/TITLE/RELATIONSHIP: AGENT,
BRIEF DESCRIPTION OF DUTIES: DETERMINING CUSTOMER NEEDS & RESEARCH
CRS (Client Relationship Summary) - RIA
Click below to view Stuart Bryan Haw'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
February 26, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
BRADENTON, FL
Current
September 14, 2016 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Bradenton, FL
Past
September 15, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
June 16, 2004 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
BRADENTON, FL
Past
December 21, 2001 - June 14, 2004
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
COLORADO SPRINGS, CO
Past
October 14, 1999 - December 17, 1999
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
September 26, 1997 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
BRADENTON, FL
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
Arizona(10/3/2016)
RR
California(10/3/2016)
RR
Colorado(10/3/2016)
RR
Florida(9/14/2016)
IAR
Florida(2/26/2024)
RR
Georgia(10/24/2025)
RR
Idaho(7/30/2018)
RR
Illinois(1/10/2019)
RR
Michigan(10/3/2016)
RR
Minnesota(10/3/2016)
RR
Nebraska(10/3/2016)
RR
New Mexico(8/20/2024)
RR
Ohio(1/23/2023)
RR
Oklahoma(7/27/2020)
RR
Oregon(8/5/2025)
RR
South Carolina(8/31/2022)
RR
Texas(1/4/2018)
IAR
Texas(3/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
