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TH

Todd M. Hawk

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CRD#: 2923152
TH

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.

Todd Montgomery Hawk was a registered financial professional .

Todd is a previously registered financial professional and started their career in finance in 1997. Todd had worked at 5 firms and has passed the Series 63, Series 55, Series 25, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 1, 2008 - April 30, 2012

ATM

BD
CRD#: 137211
NEW YORK, NY
Past

February 3, 2005 - April 29, 2008

DRIVEWEALTH INSTITUTIONAL LLC

BD
CRD#: 33038
NEW YORK, NY
Past

March 3, 2003 - January 26, 2005

WJB CAPITAL GROUP, INC.

BD
CRD#: 37334
NEW YORK, NY
Past

July 26, 1999 - March 6, 2003

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

September 15, 1997 - July 27, 1999

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 8/21/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 12/19/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 25
Date: 1/18/2000
NYSE Trading Assistant Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/10/2009
General Securities Principal Examination

Current Firm

AT
ATM
ATM | ATM USA, LLC

CRD#: 137211 / SEC#: , 8-67069

BD
Terminated by SEC on 03/03/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/13/2005
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
COWEN FINANCIAL TECHNOLOGY LLCSOLE OWNER
CHARNEY, DANIEL SCHIEF EXECUTIVE OFFICER2158255
FIORELLO, JOHNCHIEF COMPLIANCE OFFICER2883294
KHOWONG, PHONGSYFINOP2379055
SIMMONS, JAMES RCFO1327561

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.

Company Information

ATM

CRD#: 137211

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