SF
Stuart M. Flaum
CETERA INVESTMENT ADVISERS LLC
NEW YORK, NY
Some features on this profile are disabled
CRD#: 5508505
SF
Professional summary
Stuart Martin Flaum, who also goes by Stuart M Flaum, Stuart Flaum, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New York, New York and CETERA WEALTH SERVICES, LLC located in New York, New York.
Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Stuart has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stuart M Flaum | Stuart Flaum
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.
DEVELOPMENTAL DISABILITIES ADVISORY COUNCIL POSITION: caucus member NATURE: Appointed by the Governor of NY to make innovative recommendatiions to the Office of People with Developmental Disabilities to enable people with disabilities to live more meaningful and self determined lives in the community. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2023; 44 Holland Drive, Alnany NY 11229, I take part in discussions, attend council meetings, review state plans. 2) Strokes of Genius; Vice President; Strokes of Genius is a non profit which highlights the work of artists with disabilities through their website.; NIR; 1; 05/01/2008; 6701 Colonial Road Brooklyn NY 11220-5132; act as an ambassador and discuss the non profit�mission and goals with those interested in art created by people with disabilities, recruit new board members, develop with the board long term goals for the non profit 3) HealthPass Insurance Trust; broker; Independent health insurance broker�for businesses; NIR; 1; 0; 06/01/2008; 440 E 56th St New York NY 10022; prospecting, presenting insurance, processing paperwork 4) Oxford Health Plans LLC; Broker; Sales of Oxford Health Plans to businesses; NIR; 1; 2; 01/01/2009; 440 E 56th St New york NY 10022; Prospecting, Presenting insurance and processing paperwork 5) Avantax Insurance Agency and/or Avantax Insurance Services; Insurance Agent; life insurance, disability, long term care and annuity sales�; IR; 15; 01/01/2022; 365 Bridge Street Brooklyn NY 11201; Presentation of illustrations to clients, writing applications, and working through the agency to in-force status and customer service 6) Wonder Stroudsbourg Corporation; Vice president; This entity is inactive, however at the time of operation Wonder Stroudsbourg was a retail family apparel store.; NIR; 0; 05/16/1979; 365 Bridge Street Brooklyn NY 11201; No responsibilities. This is an inactive entity. 7) Health Insurance Plan of Greater New York; Broker; Quote and compare group health plans for businesses; NIR; 1; 0; 01/01/2019; 440 E 56th St New NY 10022; prospecting, presenting insurance, processing paperwork 8) Anthem Inc.; Broker; Quote and compare health plans for businesses; NIR; 1; 0; 01/01/2020; 440 E 56th St New York NY 10022; prospecting, presenting insurance, processing paperwork 9) UnitedHealthcare Insurance Company; Broker; Quote and propose group medical health plans to businesses; NIR; 1; 0; 01/01/2020; 440 E 56th St N NY 10022; prospecting, presenting insurance, processing paperwork 10) �Stuart Flaum Consulting, LLC; Member; Assist people with disabilities to live full lives in the community of their choice.; NIR; 1; 0; 05/12/2016; 440 E 56th St New York NY 10022; Mentor and Coach people with disabilities on: supports in the community, access to benefits, transportation, education and encouraging work� 11) Special Needs Family Planning LLC; Member; This was my dba at MassMutual for insurance sales . It is currently inactive.; NIR; 0; 05/12/2016; 365 Bridge Street Brooklyn NY 11201; life insurance sales, annuity sales, as a dba at MassMutual 12) NAME OF OTHER BUSINESS: SPECIAL NEEDS FAMILY PLANNING LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: LLC; START DATE: 5/2013; POSITION/TITLE/RELATIONSHIP: MANAGING DIRECTOR/OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: INACTIVE LLC;
CRS (Client Relationship Summary) - RIA
Click below to view Stuart Martin Flaum'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
RIA
CRD#: 105644
NEW YORK, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
New York, NY
Past
January 7, 2022 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
New York, NY
Past
January 7, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
New York, NY
Past
June 14, 2021 - January 12, 2022
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
NEW YORK, NY
Past
March 31, 2017 - January 12, 2022
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEW YORK, NY
Past
December 20, 2016 - March 17, 2017
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
October 15, 2012 - December 1, 2016
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEW YORK, NY
Past
September 29, 2008 - September 26, 2012
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NEW YORK, NY
Past
June 16, 2008 - September 26, 2012
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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
New Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
Exams
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
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.
