Stephen J. Sustrick

HONU WEALTH MANAGEMENT

Montara, CA

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CRD#: 4585173

Professional summary

Stephen Joseph Sustrick, who also goes by Stephen Joseph Sustrick, is a registered financial advisor currently at HONU WEALTH MANAGEMENT located in Montara, California.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Stephen has worked at 4 firms and has passed the Series 65, Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Joseph Sustrick

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.

STEPHEN SUSTRICK HAS BEEN INVOLVED IN NON-INVESTMENT RELATED CONSULTING, FINANCE AND ACCOUNTING THROUGH PWWM GROUP, 228 HAMILTON AVE, PALO ALTO, CA SINCE 12/2004 AS A DIRECTOR. HE SPENDS 80 TO 120 HOURS PER MONTH OF WHICH 5 TO 40 ARE DURING SECURITIES TRADING HOURS. DUTIES AND SERVICES INCLUDE GENERAL ACCOUNTING, CASH MANAGEMENT, BUDGETING, FORECASTING FINANCIAL MODELING, FINANCIAL PLANNING AND ANALYSIS, BUSINESS SYSTEMS RE-ENGINEERING, PROCESS IMPROVEMENT, AND OPERATIONAL COST EFFECTIVENESS EFFICIENCY REVIEWS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Joseph Sustrick'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®

None

Experience

Current

March 8, 2012 - Present

HONU WEALTH MANAGEMENT

RIA

CRD#: 142563

Montara, CA

Past

September 17, 2009 - December 31, 2011

HONU WEALTH MANAGEMENT

RIA

CRD#: 142563

LOS ALTOS, CA

Past

June 20, 2006 - July 3, 2007

HANVEY FINANCIAL

RIA

CRD#: 127511

LOS ALTOS, CA

Past

June 12, 2006 - July 5, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

LOS ALTOS, CA

Past

March 4, 2003 - November 24, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

MENLO PARK, CA

Past

February 27, 2003 - November 24, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

HONU WEALTH MANAGEMENT

HONU WEALTH MANAGEMENT | WILLIAMS, GARTH ALAN

CRD#: 142563 / SEC#: 801-132222

RIA

Registered Investment Advisory firm - (3/21/2025 Approved)

California

Registered Investment Advisory firm - (4/26/2025 Terminated)

Texas

Registered Investment Advisory firm - (3/27/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(3/8/2012)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/14/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/4/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 2/28/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/30/2002

General Securities Representative Examination

Current Firm

HONU WEALTH MANAGEMENT

HONU WEALTH MANAGEMENT | WILLIAMS, GARTH ALAN

CRD#: 142563 / SEC#: 801-132222

RIA

Registered Investment Advisory firm - (3/21/2025 Approved)

California

Registered Investment Advisory firm - (4/26/2025 Terminated)

Texas

Registered Investment Advisory firm - (3/27/2025 Terminated)

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Contact information

Main Address

Sunnyvale, CA

Mailing Address

526 W Fremont Ave 2014, Sunnyvale, CA 94087-9991

Phone number

(650) 917-3400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

12 09 2022 HWM FORM ADV 2A AND 2B FINAL (2/19/2025)

Regulatory assets under management

Total Number of Accounts	302
AUM (Assets Under Management)	$ 136,208,747

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

Stephen J. Sustrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Joseph Sustrick's CRS (Customer Relationship Summary).

Certified licenses

Experience

HONU WEALTH MANAGEMENT

HANVEY FINANCIAL

RAYMOND JAMES FINANCIAL SERVICES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

HONU WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 1/14/2010

Series 66

Date: 12/4/2002

Series 31

Date: 2/28/2003

Series 7

Date: 10/30/2002

Current Firm

HONU WEALTH MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HONU WEALTH MANAGEMENT

TRUST BUT VERIFY

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