Stuart Flaum
Stuart Flaum is a registered investment advisor at Cetera Investment Advisers LLC, based in New York, NY, with 17 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
Firm Size
IM Fee
Assets Under Management
Location
New York, NY
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Stuart is involved in several outside business activities, including serving as a caucus member on the Developmental Disabilities Advisory Council, Vice President of Strokes of Genius (a non-profit), and member of Stuart Flaum Consulting, LLC and Special Needs Family Planning LLC. He also works as an independent health insurance broker and insurance agent, selling life insurance, disability, long term care, and annuity products, dedicating a few hours per week to Avantax Insurance Agency and/or Avantax Insurance Services.
Employment History
Current Registrations
Cetera Wealth Services, LLCBroker
Cetera Investment Advisers LLC
Previous Registrations
Avantax Investment Services, INC.Broker
Avantax Advisory Services
MML Investors Services, LLC
MML Investors Services, LLCBroker
Nylife Securities LLCBroker
MML Investors Services, LLCBroker
AXA Advisors, LLC
AXA Advisors, LLCBroker
State Registrations2 states
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