Marie E. Hawkins
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.
Marie Elaine Hawkins, who also goes by Marie Hawkins, Elaine Hawkins, was a registered financial professional .
Marie is a previously registered financial professional and started their career in finance in 1983. Marie had worked at 5 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
January 20, 2016 - December 20, 2023
M. ELAINE HAWKINS, INVESTMENTS LLC
September 9, 2011 - December 31, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
September 9, 2011 - January 13, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
October 1, 2004 - September 13, 2011
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2004 - September 13, 2011
WELLS FARGO CLEARING SERVICES, LLC
May 8, 2002 - September 23, 2004
CITIGROUP GLOBAL MARKETS INC.
March 4, 1997 - September 23, 2004
CITIGROUP GLOBAL MARKETS INC.
October 20, 1983 - March 13, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
M. ELAINE HAWKINS, INVESTMENTS LLC
CRD#: 281929 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 21 |
| AUM (Assets Under Management) | $ 8,818,253 |
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.
