John R. Hawker
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.
John Robert Hawker was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 6 firms and has passed the Series 63, Series 3 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
April 26, 2002 - December 31, 2012
GBS FINANCIAL CORP.
February 8, 2001 - March 21, 2002
INDEPENDENT FINANCIAL GROUP, LLC
January 2, 2001 - April 29, 2002
THE SEIDLER COMPANIES INCORPORATED
October 17, 1994 - January 2, 2001
INDEPENDENT FINANCIAL GROUP, LLC
February 26, 1993 - October 17, 1994
GREAT AMERICAN SECURITIES INC.
March 20, 1989 - February 18, 1993
UBS FINANCIAL SERVICES INC.
October 17, 1984 - April 7, 1989
LEHMAN BROTHERS INC.
August 24, 1983 - October 15, 1984
GREAT AMERICAN SECURITIES INC.
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
GBS FINANCIAL CORP.
CRD#: 16906 / SEC#: 801-60744, 8-34631
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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