Samuel E. Hawtree

HAWTREE ADVISORY GROUP

TUCSON, AZ 85712

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CRD#: 1083920

Professional summary

Samuel Edward Hawtree is a registered financial advisor currently at HAWTREE ADVISORY GROUP, LLC located in Tucson, Arizona.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Samuel has worked at 6 firms and has passed the Series 63, SIE and Series 7 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.

HAWTREE ADVISORY GROUP; RIA; START DATE 2004 ; DISCRETIONARY MANAGEMENT OF CLIENT ASSETS; AGENT/REP AND OWNER; 200 HOURS PER MONTH; 40 HOURS PER WEEK DURING TRADING; INVESTMENT RELATED.--- HAWTREE FINANCIAL SERVICES; INSURANCE SALES; AGENT/REP; 1 HOUR PER MONTH; 0 HRS DURING TRADING; INVESTMENT RELATED;NOTARY PUBLIC; START DATE 1995; AGENT/REP; LESS THAN 1 HR PER MONTH/0 HRS DURING TRADING; NOT INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Edward Hawtree'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

May 12, 2003 - Present

HAWTREE ADVISORY GROUP, LLC

Office #1: 6069 E. Grant Road, Tucson, AZ 85712

RIA

CRD#: 124492

TUCSON, AZ

Past

August 28, 2009 - December 31, 2016

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

TUCSON, AZ

Past

February 5, 2007 - August 31, 2009

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

TUCSON, AZ

Past

November 9, 2000 - February 7, 2007

FSC SECURITIES CORPORATION

CRD#: 7461

TUCSON, AZ

Past

January 26, 1989 - November 8, 2000

CUE FINANCIAL GROUP, INC.

CRD#: 21033

PHOENIX, AZ

Past

February 10, 1983 - March 1, 1989

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

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

Arizona
(5/12/2003)

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

Series 63

Date: 3/11/1983

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: 12/18/1982

General Securities Representative Examination

Current Firm

HAWTREE ADVISORY GROUP, LLC

CRD#: 124492 / SEC#: 801-66847

RIA

Registered Investment Advisory firm - (5/30/2012 Terminated)

Arizona

Registered Investment Advisory firm - (4/10/2012 Approved)

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

6069 E. Grant Road, Tucson, AZ 85712-2318

Mailing Address

Phone number

(520) 886-5161

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	136
AUM (Assets Under Management)	$ 33,599,866

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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Samuel E. Hawtree

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Edward Hawtree's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAWTREE ADVISORY GROUP, LLC

CEROS FINANCIAL SERVICES, INC.

GUGGENHEIM DISTRIBUTORS, LLC

FSC SECURITIES CORPORATION

CUE FINANCIAL GROUP, INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/11/1983

SIE

Date: 12/31/2016

Series 7

Date: 12/18/1982

Current Firm

HAWTREE ADVISORY GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HAWTREE ADVISORY GROUP, LLC

TRUST BUT VERIFY

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