Eileen M. Hawe

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CRD#: 1468845

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.

Eileen M Hawe, who also goes by Eileen Mary Hawe Ms., Eileen Mary Hawe, Santucci Hawe, Eileen Santucci, was a registered financial professional .

Eileen is a previously registered financial professional and started their career in finance in 1986. Eileen had worked at 8 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Eileen Mary Hawe Ms. | Eileen Mary Hawe | Santucci Hawe | Eileen Santucci

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 8, 2012 - May 24, 2023

INCOME & ASSET ADVISORY, INC.

RIA

CRD#: 124955

ARMONK, NY

Past

January 31, 2012 - January 30, 2013

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

ARMONK, NY

Past

January 2, 2008 - March 1, 2012

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

ARMONK, NY

Past

May 24, 2006 - December 31, 2007

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

ARMONK, NY

Past

January 5, 2006 - June 1, 2006

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

NEW YORK, NY

Past

June 26, 1997 - June 1, 2006

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

NEW YORK, NY

Past

January 9, 1995 - May 16, 1996

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

November 7, 1988 - January 20, 1993

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 22, 1986 - October 14, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INCOME & ASSET ADVISORY, INC.

INCOME & ASSET ADVISORY, INC. | KATONAH CAPITAL GROUP

CRD#: 124955 / SEC#: 801-69801

RIA

Registered Investment Advisory firm - (1/2/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 66

Date: 3/28/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/14/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

Current Firm

INCOME & ASSET ADVISORY, INC.

INCOME & ASSET ADVISORY, INC. | KATONAH CAPITAL GROUP

CRD#: 124955 / SEC#: 801-69801

RIA

Registered Investment Advisory firm - (1/2/2009 Approved)

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Contact information

Main Address

80 Business Park Drive, Suite 108, Armonk, NY 10504

Mailing Address

Phone number

(914) 273-6800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IAA FIRM BROCHURE (7/16/2025)

Regulatory assets under management

Total Number of Accounts	455
AUM (Assets Under Management)	$ 136,061,350

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Eileen M. Hawe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

GENEOS WEALTH MANAGEMENT, INC.

COMMONWEALTH FINANCIAL NETWORK

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

WALNUT STREET SECURITIES, INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

INCOME & ASSET ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/28/2005

Series 63

Date: 12/14/1988

Series 7

Date: 5/17/1986

Current Firm

INCOME & ASSET ADVISORY, INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INCOME & ASSET ADVISORY, INC.

TRUST BUT VERIFY

Contact information

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