Cecelia P. Hawthorn
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Cecelia P Hawthorn, who also goes by Cecelia Anne Hawthorn, Cecelia Partain Hawthorn, Cecelia Hawthorn, Cecelia Anne Partain, was a registered financial professional .
Cecelia is a previously registered financial professional and started their career in finance in 1994. Cecelia had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2020 - June 27, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 20, 2020 - June 27, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 16, 2019 - February 11, 2020
MORGAN STANLEY
December 16, 2019 - February 11, 2020
MORGAN STANLEY
February 23, 2011 - November 26, 2019
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - November 26, 2019
WELLS FARGO CLEARING SERVICES, LLC
June 3, 1998 - January 3, 2008
A. G. EDWARDS & SONS, INC.
May 12, 1995 - June 17, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 1994 - May 15, 1995
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
