SH
Stuart Q. Hoshide
CETERA INVESTMENT ADVISERS LLC
ORANGE, CA 92868
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CRD#: 1838860
SH
Professional summary
Stuart Quinn Hoshide is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Orange, California and CETERA ADVISORS LLC located in Orange, California.
Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Stuart has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 26 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.) ORANGE CAPITAL MANAGEMENT, INC; REGISTERED INVESTMENT ADVISOR; START DATE 5/30/2008. 2.) THE RINKS IRVINE INLINE; COACH; VOLUNTEER; 3 HOURS/ WEEK; STARTED 01/15/2012; 3. NAME OF OTHER BUSINESS: ADVANCED TIME SEGMENTATION (ATS); INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SOFTWARE; START DATE: 10/2009; POSITION/TITLE/RELATIONSHIP: COACH; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: PROVIDE COACHING ON FINANCIAL PLANNING SOFTWARE;
CRS (Client Relationship Summary) - RIA
Click below to view Stuart Quinn Hoshide'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
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 333 S. Anita Drive, Suite 700, Orange, CA 92868Office #2: 3 Twin Dolphin Drive Suite #250, Redwood Shores, CA 94065RIA
CRD#: 105644
ORANGE, CA
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 333 S. Anita Drive-suite 700, Orange, CA 92868BD
CRD#: 10299
Orange, CA
Past
May 30, 2008 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
ORANGE, CA
Past
January 1, 2007 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
ORANGE, CA
Past
November 16, 1992 - January 1, 2007
FFP ADVISORY SERVICES INC
RIA
CRD#: 110778
ORANGE, CA
Past
April 26, 1989 - May 30, 2008
FFP SECURITIES, INC.
BD
CRD#: 16337
ORANGE, CA
Past
January 23, 1989 - May 16, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
Past
January 23, 1989 - May 16, 1989
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
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
Arizona(9/8/2022)
IAR
California(11/12/2020)
RR
California(9/8/2022)
RR
Colorado(9/8/2022)
RR
District of Columbia(9/8/2022)
RR
Florida(9/8/2022)
RR
Hawaii(9/8/2022)
RR
Minnesota(9/8/2022)
RR
Nevada(9/8/2022)
RR
New York(9/8/2022)
RR
North Carolina(9/8/2022)
RR
Oklahoma(9/8/2022)
RR
Texas(9/8/2022)
IAR
Texas(11/1/2022)
RR
Virginia(9/8/2022)
RR
Wisconsin(9/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
