Richard J. Hawickhorst

BRUCKE FINANCIAL

Teutopolis, IL 62467

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CRD#: 1052526

Professional summary

Richard James Hawickhorst is a registered financial advisor currently at BRUCKE FINANCIAL, INC. located in Teutopolis, Illinois.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Richard has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard James Hawickhorst's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 11, 2018 - Present

BRUCKE FINANCIAL, INC.

Office #1: 111 E Main St, Teutopolis, IL 62467

RIA

CRD#: 291307

Teutopolis, IL

Past

March 16, 1998 - January 11, 2018

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

TEUTOPOLIS, IL

Past

October 5, 1982 - January 11, 2018

PRUCO SECURITIES, LLC.

CRD#: 5685

TEUTOPOLIS, IL

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".

BRUCKE FINANCIAL, INC.

BRUCKE FINANCIAL, INC. | ORBIS FINANCIAL

CRD#: 291307 / SEC#: 801-123245

RIA

Registered Investment Advisory firm - (2/18/2022 Approved)

Illinois

Registered Investment Advisory firm - (3/15/2022 Terminated)

Indiana

Registered Investment Advisory firm - (3/16/2022 Terminated)

Missouri

Registered Investment Advisory firm - (3/15/2022 Terminated)

Texas

Registered Investment Advisory firm - (3/15/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(1/11/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/20/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/10/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/11/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/15/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BRUCKE FINANCIAL, INC.

BRUCKE FINANCIAL, INC. | ORBIS FINANCIAL

CRD#: 291307 / SEC#: 801-123245

RIA

Registered Investment Advisory firm - (2/18/2022 Approved)

Illinois

Registered Investment Advisory firm - (3/15/2022 Terminated)

Indiana

Registered Investment Advisory firm - (3/16/2022 Terminated)

Missouri

Registered Investment Advisory firm - (3/15/2022 Terminated)

Texas

Registered Investment Advisory firm - (3/15/2022 Terminated)

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Contact information

Main Address

Indianapolis, IN

Mailing Address

Phone number

(317) 658-4548

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-BRUCKE FINANCIAL, INC. (3/24/2025)

Regulatory assets under management

Total Number of Accounts	2,065
AUM (Assets Under Management)	$ 200,986,148

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.

Contact information

xxxxx@xxxx.xxx

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Richard J. Hawickhorst

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard James Hawickhorst's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

BRUCKE FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/20/1998

Series 63

Date: 6/10/1992

SIE

Date: 1/11/2018

Series 7

Date: 10/17/1997

Series 6

Date: 9/15/1982

Current Firm

BRUCKE FINANCIAL, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRUCKE FINANCIAL, INC.

TRUST BUT VERIFY

Contact information

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