SK
Stuart F. Kessler
CETERA INVESTMENT ADVISERS LLC
New Market, MD
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CRD#: 5800945
SK
Professional summary
Stuart Francis Kessler is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New Market, Maryland and CETERA WEALTH SERVICES, LLC located in Cockeysville, Maryland.
Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Stuart has worked at 4 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. MARYLAND ALZEHIMER'S ASSOCIATION POSITION: Member NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 2 START DATE: 07/01/2019 ADDRESS: , Timonium MD , United States DESCRIPTION: Member 2. SCC FIXED INSURANCE POSITION: Independent Contractor NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 09/01/2016 ADDRESS: , Columbia MD , United States DESCRIPTION: Independent Contractor; 3. NAME OF OTHER BUSINESS: SEAL ADVISORY, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: LLC START DATE: 01/2025, POSITION/TITLE/RELATIONSHIP: PRINCIPLE PARTNER , LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: NO DUTIES OR ACTIVITIES PRESENTLY. LLC WILL REMAIN DORMANT FOR THE FORESEEABLE FUTURE; 4. NAME OF OTHER BUSINESS: KINNECT ADVISORS INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Stuart Francis Kessler'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 9710 Monroe St, Cockeysville, MD 21030RIA
CRD#: 105644
New Market, MD
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 9710 Monroe St, Cockeysville, MD 21030BD
CRD#: 13572
Cockeysville, MD
Past
January 8, 2016 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Towson, MD
Past
January 8, 2016 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Towson, MD
Past
September 10, 2013 - January 23, 2014
NEW ENGLAND SECURITIES
RIA
CRD#: 615
WALL TOWNSHIP, NJ
Past
December 14, 2011 - January 23, 2014
NEW ENGLAND SECURITIES
BD
CRD#: 615
WALL TOWNSHIP, NJ
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(5/15/2025)
RR
California(8/10/2023)
RR
District of Columbia(8/10/2023)
RR
Illinois(9/18/2024)
RR
Maryland(8/10/2023)
IAR
Maryland(8/10/2023)
RR
New Jersey(8/27/2025)
RR
North Carolina(11/9/2023)
RR
Ohio(9/2/2025)
RR
Pennsylvania(8/10/2023)
RR
Vermont(8/20/2024)
RR
Virginia(8/10/2023)
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
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.
