Richard G. Hawks
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.
Richard George Hawks was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1972. Richard had worked at 7 firms and has passed the Series 63, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2007 - December 7, 2011
LANDOLT SECURITIES, INC.
January 6, 1999 - February 3, 2005
OBERWEIS SECURITIES, INC.
May 30, 1995 - November 20, 1998
GENEVA SECURITIES,INC.
February 10, 1989 - May 4, 1993
HAMILTON INVESTMENTS, INC.
July 22, 1980 - January 26, 1989
OBERWEIS SECURITIES, INC.
September 4, 1974 - August 28, 1980
AMERIPRISE ADVISOR SERVICES, INC.
February 14, 1973 - September 28, 1974
MULLANEY, WELLS & COMPANY
June 15, 1972 - March 14, 1973
HAMILTON INVESTMENTS, 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
PC
Date: 11/9/1992
AMEX Put and Call ExamSeries 1
Date: 6/7/1972
Registered Representative ExaminationSeries 40
Date: 10/6/1976
Registered Principal ExaminationCurrent Firm
LANDOLT SECURITIES, INC.
CRD#: 28352 / SEC#: , 8-43645
Contact information
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 279 |
| AUM (Assets Under Management) | $ 105,626,273 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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