DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

STUART John HAWKINS

Advisor at CETERA INVESTMENT ADVISERS LLC

WEST HARTFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f4574d5d-d299-dc84-3710-295a31d8f0ff

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 22, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 1, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jan 28, 1994
First registration: Nov 22, 2002
Dual registered: yes, broker-dealer
Other names: STUART J HAWKINS
IAPD individual key: 2394909

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	May 13, 2025	n/a	yes	WEST HARTFORD, CT	Current employment
Spc	Bd affiliated wealth	Jul 7, 2016	May 13, 2025	no	West Hartford, CT\|ANN ARBOR, MI	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jan 2, 2015	Jul 18, 2016	no	WEST HARTFORD, CT	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Nov 22, 2002	Jan 2, 2015	no	W HARTFORD, CT\|WEST HARTFORD, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
Spc	CETERA INVESTMENT ADVISERS LLC	May 13, 2025	May 13, 2025	0	Firm change	Ibd to ibd
MSI FINANCIAL SERVICES, INC.	Spc	Jul 18, 2016	Jul 7, 2016	-11	Firm change	Other
NEW ENGLAND SECURITIES CORPORATION	MSI FINANCIAL SERVICES, INC.	Jan 2, 2015	Jan 2, 2015	0	Bulk transfer	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
May 13, 2025 to presentfactForm ADV
→ SPCRegistered adviserregistration: previous registration
Jul 7, 2016 to May 13, 2025factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 2, 2015 to Jul 18, 2016factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Nov 22, 2002 to Jan 2, 2015factForm ADV

Dated events

Occurred
May 13, 2025
Advisor changed firm
Stuart John Hawkins left Spc for Cetera Investment Advisers Llc (registered 2025-05-13)
Form ADVobserved 5 days ago