SH
Stephen W. Hawthorne
CETERA INVESTMENT ADVISERS LLC
MANASQUAN, NJ 08736
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CRD#: 7401806
SH
Professional summary
Stephen William Hawthorne is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Manasquan, New Jersey and CETERA WEALTH SERVICES, LLC located in Manasquan, New Jersey.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Stephen has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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) AWP FIXED INSURANCE POSITION: Independent Contractor NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 06/25/2021 ADDRESS: 14 Walsh Dr, #100, Parsippany NJ 07054, United States DESCRIPTION: Fixed insurance sales through outside carriers approved by Allied Wealth Partners 2) NAIFA NJ YAT CHAIR POSITION: Volunteer NATURE: Volunteer/Community Outreach INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/02/2023 ADDRESS: 2901 Telestar Ct., Falls Church VA 22042, United States DESCRIPTION: Serve in A volunteer position with NAIFA New Jersey as the Youth Advisor Training Chair. 3) NAME OF OTHER BUSINESS: NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS, INVESTMENT RELATED: NO, ADDRESS: 1000 WILSON BLVD, ARLINGTON, VA 22209, NATURE OF BUSINESS: NON-PROFIT, START DATE: 04/2024, POSITION/TITLE/RELATIONSHIP: SECRETARY, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: MAINTAINING ADMINISTRATIVE TASKS DURING CHAPTER MEETINGS;
CRS (Client Relationship Summary) - RIA
Click below to view Stephen William Hawthorne'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 #1: 2317 Rt 34 St 1d & 1e, Manasquan, NJ 08736RIA
CRD#: 105644
MANASQUAN, NJ
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2317 Rt 34 Suite 1d & 1e, Manasquan, NJ 08736BD
CRD#: 13572
Manasquan, NJ
Past
November 3, 2021 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Manasquan, NJ
Past
July 7, 2021 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Manasquan, 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
Arkansas(6/6/2024)
RR
California(6/11/2024)
RR
Delaware(3/17/2025)
RR
Florida(8/11/2023)
RR
Georgia(10/17/2025)
RR
Idaho(3/13/2025)
RR
Kentucky(6/6/2024)
RR
Maine(5/9/2025)
RR
Maryland(3/11/2024)
RR
Massachusetts(8/10/2023)
RR
Minnesota(4/28/2025)
RR
New Hampshire(3/20/2025)
RR
New Jersey(8/10/2023)
IAR
New Jersey(8/10/2023)
RR
New York(8/10/2023)
RR
North Carolina(8/10/2023)
RR
Ohio(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
Rhode Island(7/15/2025)
RR
South Carolina(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Utah(8/10/2023)
RR
Virginia(1/16/2025)
RR
Wisconsin(3/20/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/7/2021
General Securities Representative ExaminationGeneral 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Manasquan, NJ 08736TRUST BUT VERIFY
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