Joseph A A. Hawes
Professional summary
Joseph A Alton Hawes JR, who also goes by Joe Hawes, Joseph Alton Hawes Jr, Joseph Hawes, Jow Hawes, Joseph Alton Hawes, is a registered financial advisor currently at CAPITAL ADVISORS, INC. located in Tulsa, Oklahoma.
Joseph A is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Joseph A has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joseph A Alton Hawes JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 4, 2016 - Present
CAPITAL ADVISORS, INC.
Office #1: 2222 South Utica Place Suite 300, Tulsa, OK 74114January 2, 2018 - December 31, 2018
QUASAR DISTRIBUTORS, LLC
January 22, 1997 - May 3, 2016
UBS FINANCIAL SERVICES INC.
January 1, 1991 - May 3, 2016
UBS FINANCIAL SERVICES INC.
May 22, 1986 - January 1, 1991
ROTAN MOSLE INC.
Primary Firm SEC Registration
CAPITAL ADVISORS, INC.
CRD#: 104643 / SEC#: 801-14050
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/4/2016)
(11/7/2022)
Exams
Current Firm
CAPITAL ADVISORS, INC.
CRD#: 104643 / SEC#: 801-14050
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,297 |
| AUM (Assets Under Management) | $ 6,146,880,645 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
CAPITAL ADVISORS, INC.
CRD#: 104643Tulsa, OK 74114TRUST BUT VERIFY
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