John A. Hawke
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 Alan Hawke, who also goes by John A Hawke, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2012 - December 31, 2012
INVESTMENT PLANNERS, INC.
April 30, 2012 - December 31, 2012
IPI WEALTH MANAGEMENT, INC.
November 5, 2007 - May 5, 2010
WELLS FARGO CLEARING SERVICES, LLC
November 5, 2007 - May 5, 2010
WELLS FARGO CLEARING SERVICES, LLC
October 26, 2006 - October 3, 2007
MIDWOOD SECURITIES, INC.
November 23, 2001 - October 5, 2006
WELLS FARGO CLEARING SERVICES, LLC
November 23, 2001 - October 5, 2006
WELLS FARGO CLEARING SERVICES, LLC
February 23, 1998 - September 14, 2001
HOWE BARNES HOEFER & ARNETT, INC.
March 12, 1994 - February 18, 1998
WELLS FARGO CLEARING SERVICES, LLC
March 31, 1989 - December 23, 1993
LEHMAN BROTHERS INC.
December 24, 1987 - April 15, 1989
PRUDENTIAL EQUITY GROUP, LLC
December 19, 1984 - December 23, 1993
LEHMAN BROTHERS 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
Series 8
Date: 7/13/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INVESTMENT PLANNERS, INC.
CRD#: 18557 / SEC#: , 8-35642
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
