Brian K. Hathaway

INVESTORS CAPITAL MANAGEMENT

Darien, CT 06820

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CRD#: 1076945

Professional summary

Brian Kent Hathaway is a registered financial advisor currently at INVESTORS CAPITAL MANAGEMENT INC located in Darien, Connecticut.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Brian has worked at 1 firm and has passed the Series 65 exam.

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 Brian Kent Hathaway'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®

None

Experience

Current

October 16, 2012 - Present

INVESTORS CAPITAL MANAGEMENT INC

Office #1: 30 Old Kings Highway South - Suite 200, Darien, CT 06820

RIA

CRD#: 110823

Darien, CT

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

Connecticut
(10/16/2012)

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: 10/15/2012

Uniform Investment Adviser Law Examination

Current Firm

INVESTORS CAPITAL MANAGEMENT INC

CRD#: 110823 / SEC#: 801-40164

RIA

Registered Investment Advisory firm - (6/27/2012 Terminated)

Connecticut

Registered Investment Advisory firm - (6/11/2012 Approved)

New York

Registered Investment Advisory firm - (4/4/2022 Terminated)

Texas

Registered Investment Advisory firm - (11/26/2012 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).

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Contact information

Main Address

30 Old Kings Highway South - Suite 200, Darien, CT 06820

Mailing Address

Phone number

(203) 656-7235

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	120
AUM (Assets Under Management)	$ 67,717,964

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.

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Brian K. Hathaway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Kent Hathaway's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTORS CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/2012

Current Firm

INVESTORS CAPITAL MANAGEMENT INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INVESTORS CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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