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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-05-13
  • CT RA
    APPROVED
    Since 2025-05-13

Branch Locations

15 North Main St Ste 101, West Hartford, CT 06107 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Spc Ann Arbor MI 07/2016 05/2025
Parkland Securities, Llc Ann Arbor MI 07/2016 05/2025
Future Planned Llc West Hartford CT 08/2016 Present
Plan Of Ct Wethersfield CT 01/2010 Present
Futures Planned Benefit Consulting West Hartford CT 08/2020 Present
Various Carriers West Hartford CT 04/1990 Present
Cetera Financial Specialists Llc Schaumburg IL 05/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 05/2025 Present
  • 07/2016 → 05/2025
    Ann Arbor, MI
  • 07/2016 → 05/2025
    Parkland Securities, Llc
    Ann Arbor, MI
  • 08/2016 → Present
    Future Planned Llc
    West Hartford, CT
  • 01/2010 → Present
    Plan Of Ct
    Wethersfield, CT
  • 08/2020 → Present
    Futures Planned Benefit Consulting
    West Hartford, CT
  • 04/1990 → Present
    Various Carriers
    West Hartford, CT
  • 05/2025 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 05/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2016-07-07 → 2025-05-13
    West Hartford, CT
    Ann Arbor, MI
  • 2015-01-02 → 2016-07-18
    Msi Financial Services, Inc.
    West Hartford, CT
  • 2002-11-22 → 2015-01-02
    New England Securities
    W Hartford, CT
    West Hartford, CT
Other Businesses

1) FUTURE PLANNED LLC; SAME AS REGISTERED LOCATION; INVESTMENT RELATED; DBA FOR INVESTMENTS/WEALTH MANAGEMENT; FINANCIAL PROFESSIONAL; SINCE 8/2016; 200 HRS/MO 2) VARIOUS CARRIERS NON-INVESTMENT RELATED; AGENT; RECEIVE RENEWAL REVENUE ON LIFE INSURANCE CONTRACTS ; 40 HRS/MO SINCE 4/5/1990 3) FUTURES PLANNED BENEFIT CONSULTING; NON-INVESTMENT RELATED; ADDRESS SAME AS REGISTERED BRANCH; SPECIAL NEEDS CONSULTANT REGARDING GOV'T BENEFITS OF SPECIAL NEEDS CHILDREN; SINCE 8/2020; 20HRS/MO 4) PLAN OF CT; NON-INVESTMENT RELATED; WETHERSFIELD CT 06129; BOARD CHAIR OF NON-PROFIT SPECIAL NEEDS TRUST; SINCE 1/2010; 8HRS/MO

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-26
S63 Uniform Securities Agent State Law Examination 1994-01-28
  • S65 Uniform Investment Adviser Law Examination
    1998-05-26
  • S63 Uniform Securities Agent State Law Examination
    1994-01-28
Other Names
  • Stuart J Hawkins

View on SEC IAPD

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