ST
Stuart S. Tsujimoto
CETERA INVESTMENT ADVISERS LLC
TORRANCE, CA 90505
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CRD#: 449998
ST
Professional summary
Stuart Shoji Tsujimoto, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Torrance, California and CETERA WEALTH SERVICES, LLC located in Torrance, California.
Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1968. Stuart has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 24, Series 51 and Series 00 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) NAME OF OTHER BUSINESS: INSURANCE, INVESTMENT RELATED: YES, ADDRESS: N/A, NATURE OF BUSINESS: SALE OF FIXED INSURANCE (LIFE), POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE, START DATE: 11/20/2007, APX NUMBER OF HOURS PER MONTH: N/A, APX NUMBER OF HOURS DURING TRADING HOURS: N/A, BRIEF DESCRIPTION OF DUTIES: SALE OF VARIOUS INSURANCE COMPANIES AS A REGISTERED REPRESENTATIVE; 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 2/2021; APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND DISABILITY; 3) NAME OF OTHER BUSINESS: STSUJITMOTO, LLC INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HORSE RACING/BREEDER; START DATE: 6/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 30-40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: OWNER - BUYING AND SELLING HORSES, RACING AND BREEDING. PARTNER WITH TRAINER; 4) NAME OF OTHER BUSINESS: APS PLANNING SERVICE, INC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 04/1993, POSITION/TITLE/RELATIONSHIP: PRESIDENT/OWNER, APX NUMBER OF HOURS PER WEEK: 2, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: EXPENSE MANAGEMENT FOR BUSINESS OFFICE;
CRS (Client Relationship Summary) - RIA
Click below to view Stuart Shoji Tsujimoto'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®
CFP®
Start date: 1978
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 25500 Hawthorne Blvd Ste 1140, Torrance, CA 90505RIA
CRD#: 105644
TORRANCE, CA
Current
April 10, 1989 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 25500 Hawthorne Blvd Ste 1140, Torrance, CA 90505BD
CRD#: 13572
Torrance, CA
Past
July 8, 1997 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
August 20, 1985 - April 10, 1989
AMERICAN PACIFIC SECURITIES CORPORATION
BD
CRD#: 5003
Past
July 30, 1968 - August 20, 1985
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
BD
CRD#: 32
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
Alabama(1/2/2018)
RR
Alaska(5/5/1997)
RR
Arizona(4/26/2000)
RR
Arkansas(1/3/2018)
RR
California(4/10/1989)
IAR
California(6/29/2023)
RR
Colorado(7/13/1990)
RR
Connecticut(9/27/2021)
RR
Florida(5/19/1999)
RR
Georgia(4/28/2000)
RR
Hawaii(7/13/1990)
RR
Idaho(1/8/2018)
RR
Illinois(7/13/1990)
RR
Indiana(3/8/2010)
RR
Kansas(7/14/1998)
RR
Kentucky(7/16/1990)
RR
Louisiana(3/10/2008)
RR
Maine(9/23/2020)
RR
Maryland(5/17/1999)
RR
Massachusetts(6/27/2002)
RR
Michigan(5/1/2000)
RR
Minnesota(11/8/2011)
RR
Missouri(6/18/2002)
RR
Montana(2/6/2008)
RR
Nevada(4/10/1989)
RR
New Jersey(7/13/1990)
RR
New Mexico(8/6/1990)
RR
New York(7/13/1990)
RR
North Carolina(5/23/2002)
RR
North Dakota(1/2/2025)
RR
Ohio(5/13/1999)
RR
Oklahoma(7/13/1990)
RR
Oregon(7/13/1990)
RR
Pennsylvania(5/14/1999)
RR
South Carolina(3/4/2003)
RR
South Dakota(1/8/2018)
RR
Tennessee(9/6/2006)
RR
Texas(7/19/1990)
IAR
Texas(6/29/2023)
RR
Utah(4/26/2000)
RR
Virginia(4/26/2000)
RR
Washington(8/6/1990)
RR
Wyoming(1/18/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/22/1968
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 00
Date: 12/15/1975
General Securities Principal ExaminationSRO 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
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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.
