Stephen Sustrick has been an investment adviser representative at Williams, Garth Alan since March 2012, and is not listed among the firm’s executive officers or direct owners. Stephen Sustrick holds a Bachelor's of Science in Accounting from California State University Sacramento.
Williams, Garth Alan is a firm with $162M under management, 92 clients and 4 advisers across 4 offices, as of its July 2026 filing.
Stephen J. Sustrick is an Investment Advisor Representative of Honu Wealth. Previously he was with PriceWaterhouseCoopers LLP and Ernst & Young LLP for over ten years in accounting and auditing, and he spent over five years in the high-tech industry. He now specializes in personal wealth management, estate conservation and financial consulting.
Stephen Sustrick’s longest registration is the current one, 14 years at Williams, Garth Alan since 2012. Before joining Williams, Garth Alan in 2012, Stephen Sustrick was registered through Hanvey Financial and Morgan Stanley.
- Honu Wealth ManagementCurrent– present · 14 yearsMontara, CA · Adviser representative · Firm CRD 142563
- Hanvey Financial– · 1 yearLos Altos, CA · Adviser representative · Firm CRD 127511
- Morgan Stanley– · 1 yearMenlo Park, CA · Adviser representative · Firm CRD 7556
Investment adviser representative registrations
Stephen Sustrick is registered as an investment adviser representative in Texas, as a resident of Texas, since October 2026.
- TexasResidentSince 7 October 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 14 January 2010 |
| Series 31 | Futures Managed Funds Examination | 28 February 2003 |
| Series 66 | Uniform Combined State Law Examination | 4 December 2002 |
| Series 7 | General Securities Representative Examination | 30 October 2002 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Stephen Joseph Sustrick
- CRD
- 4585173
- Firm
- Williams, Garth Alan · CRD 142563
- Office
- Montara, CA
- Registration
- Investment adviser registration
- In the industry since
- February 2007
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- honuwealth.com
Where does Stephen Sustrick work?
Stephen Sustrick is an investment adviser representative registered through Williams, Garth Alan since March 2012, and is not listed among the firm’s executive officers or direct owners.
Is Stephen Sustrick a financial advisor?
Yes. Stephen Sustrick has a current investment-adviser registration in Texas, through Williams, Garth Alan since March 2012.
How many years of experience does Stephen Sustrick have?
Stephen Sustrick has 19 years in the financial industry, since February 2007, across 3 adviser firms.
What exams has Stephen Sustrick passed?
Stephen Sustrick has passed 4 licensing exams: the Series 7, Series 66, Series 31 and Series 65. The earliest, the Series 7, was passed in October 2002.
Where did Stephen Sustrick work before Williams, Garth Alan?
Before Williams, Garth Alan, Stephen Sustrick was registered through Hanvey Financial, June 2006 to July 2007; Morgan Stanley, March 2003 to November 2004.
Where is Stephen Sustrick based?
Stephen Sustrick’s registered office is in Montara, CA.
Is Stephen Sustrick registered with FINRA?
No. Stephen Sustrick has no current broker registration.
How can I verify Stephen Sustrick’s record?
Search CRD 4585173 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stephen Sustrick’s full registration record.
