Frederic R. 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.
Frederic Rossiter Hawkins was a registered financial professional .
Frederic is a previously registered financial professional and started their career in finance in 1998. Frederic had worked at 5 firms and has passed the Series 63 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
December 18, 2007 - January 24, 2008
W. P. STEWART SECURITIES LLC
May 11, 2006 - December 31, 2018
PIER CAPITAL, LLC
November 6, 2001 - May 8, 2006
EAGLE BOSTON INVESTMENT MANAGMENT, INC.
August 26, 1999 - August 29, 2005
RAYMOND JAMES & ASSOCIATES, INC.
May 24, 1999 - August 23, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 30, 1998 - May 25, 1999
RAYMOND JAMES & ASSOCIATES, INC.
January 8, 1998 - June 30, 1998
RAYMOND JAMES FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
W. P. STEWART SECURITIES LLC
CRD#: 40964 / SEC#: , 8-49274
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
