Daniel V. Hawley

HAWLEY ADVISORS

Walnut Creek, CA 94596

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CRD#: 1071497

Professional summary

Daniel Vincent Hawley, CFP® is a registered financial advisor currently at HAWLEY ADVISORS located in Walnut Creek, California.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Daniel has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Insurance Planning

Estate Planning

Comprehensive Financial Planni...

Investment Planning

Retirement Planning

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) DANIEL V. HAWLEY; OWNER OF REGISTERED INVESTMENT ADVISOR; WALNUT CREEK, CA; INVESTMENT RELATED; OWNER; 09/30/2009; 50 HOURS PER MONTH; 50 HOURS DURING MARKET HOURS; CA DOC INVESTMENT ADVISOR W/~$30 MM AUM.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Vincent Hawley'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®

CFP^®

Certified Financial Planner

Start date: 1985

Experience

Current

March 31, 2014 - Present

HAWLEY ADVISORS

Office #1: 1600 South Main Street Suite 190, Walnut Creek, CA 94596

RIA

CRD#: 139335

Walnut Creek, CA

Past

September 4, 2009 - December 31, 2016

FOOTHILL SECURITIES, INC.

CRD#: 1027

WALNUT CREEK, CA

Past

April 3, 1998 - September 4, 2009

ASSOCIATED SECURITIES CORP.

RIA

CRD#: 12969

WALNUT CREEK, CA

Past

September 17, 1997 - September 4, 2009

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA

CRD#: 104790

WALNUT CREEK, CA

Past

May 3, 1996 - September 4, 2009

ASSOCIATED SECURITIES CORP.

CRD#: 12969

WALNUT CREEK, CA

Past

January 19, 1993 - May 24, 1996

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

May 12, 1992 - December 31, 1992

PLANNED INVESTMENTS INC.

CRD#: 5066

ATLANTA, GA

Past

February 7, 1991 - May 21, 1992

DERAND/PENNINGTON/BASS, INC.

CRD#: 4679

Past

October 16, 1989 - January 29, 1991

GLENFED BROKERAGE SERVICES

CRD#: 13648

GLENDALE, CA

Past

August 29, 1989 - October 24, 1989

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

July 22, 1985 - July 31, 1989

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

August 15, 1983 - June 21, 1985

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Past

March 2, 1983 - August 22, 1983

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

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

California
(11/6/2025)

IAR

Texas
(3/31/2014)

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: 9/26/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/8/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/5/1996

General Securities Principal Examination

Current Firm

HAWLEY ADVISORS

CRD#: 139335 / SEC#:

California

Registered Investment Advisory firm - (6/16/1999 Approved)

Texas

Registered Investment Advisory firm - (3/27/2014 Conditional Restricted)

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Contact information

Main Address

1600 South Main Street Suite 190, Walnut Creek, CA 94596

Mailing Address

Phone number

(925) 906-9800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	149
AUM (Assets Under Management)	$ 67,960,413

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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Advisor Monitoring

Firm Stability Insights

Daniel V. Hawley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Vincent Hawley's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOOTHILL SECURITIES, INC.

ASSOCIATED SECURITIES CORP.

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

ASSOCIATED SECURITIES CORP.

IFG NETWORK SECURITIES, INC.

PLANNED INVESTMENTS INC.

DERAND/PENNINGTON/BASS, INC.

GLENFED BROKERAGE SERVICES

INVEST FINANCIAL CORPORATION

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CETERA WEALTH SERVICES, LLC

SOUTHMARK FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/1994

Series 63

Date: 12/8/1986

SIE

Date: 12/31/2016

Series 7

Date: 2/19/1983

Series 24

Date: 9/5/1996

Current Firm

HAWLEY ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HAWLEY ADVISORS

TRUST BUT VERIFY

Contact information

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