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Stuart Haw

28 Years of Experience
Bradenton, FL
3 DisclosuresBrokerSells Insurance

Stuart Haw is a registered investment advisor at Cetera Investment Advisers LLC, based in Bradenton, FL, with 28 years of industry experience. Stuart operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.

Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location

Bradenton, FL

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2020
Settled
Customer Dispute
April 2020
Settled
Customer Dispute
November 2001
Closed-No Action
Other Business ActivitiesSells Insurance

Stuart is an agent selling fixed insurance products, including life, health, disabilities, annuities, long-term care, and travel insurance, dedicating a full-time commitment to this. He also owns rental property and spends minimal time discussing property matters with the management company, and works as an agent for Investors West, spending a few hours per week determining customer needs and researching.

Employment History
Current Registrations
Cetera Investment Advisers LLC
February 2024 - Present · 2 yrs 7 mos
Cetera Advisors LLCBroker
September 2016 - Present · 10 yrs
Previous Registrations
Cetera Advisors LLC
September 2016 - March 2024 · 7 yrs 6 mos
Investors Capital Advisory
June 2004 - October 2016 · 12 yrs 4 mos
Eastern Point Advisors INC.
December 2001 - June 2004 · 2 yrs 6 mos
Lsa Securities, INC.Broker
October 1999 - December 1999 · 2 mos
Investors Capital CORP.Broker
September 1997 - October 2016 · 19 yrs 1 mo
State Registrations13 states
CACOFLGAIDMIMNNENMOKORSCTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.