Michael J. Hathaway

EPSILON FINANCIAL GROUP

Fairfield, CA 94534

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CRD#: 2945759

Professional summary

Michael Jeffrey Hathaway, AIF®, CFP®, who also goes by Michael Hathaway, is a registered financial advisor currently at EPSILON FINANCIAL GROUP, INC. located in Fairfield, California.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Michael has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Hathaway

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) - RIA

Click below to view Michael Jeffrey Hathaway's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

January 4, 2020 - Present

EPSILON FINANCIAL GROUP, INC.

Office #1: 2801 Waterman Blvd., Suite 250, Fairfield, CA 94534

RIA

CRD#: 111990

Fairfield, CA

Past

May 21, 2018 - August 30, 2018

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

SAN JOSE, CA

Past

January 17, 2018 - August 30, 2018

PRUCO SECURITIES, LLC.

CRD#: 5685

SAN JOSE, CA

Past

November 10, 1999 - February 21, 2001

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

November 28, 1997 - March 16, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 6, 1997 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

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".

EPSILON FINANCIAL GROUP, INC.

EPSILON FINANCIAL GROUP, INC. | SIEVERS FINANCIAL CONSULTANTS | SIEVERS FINANCIAL ADVISORS | MARK SCOTT SIEVERS

CRD#: 111990 / SEC#: 801-62454

RIA

Registered Investment Advisory firm - (10/24/2003 Approved)

California

Registered Investment Advisory firm - (12/3/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/4/2020)

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: 3/8/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/14/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/17/2018

General Securities Representative Examination

Current Firm

EPSILON FINANCIAL GROUP, INC.

EPSILON FINANCIAL GROUP, INC. | SIEVERS FINANCIAL CONSULTANTS | SIEVERS FINANCIAL ADVISORS | MARK SCOTT SIEVERS

CRD#: 111990 / SEC#: 801-62454

RIA

Registered Investment Advisory firm - (10/24/2003 Approved)

California

Registered Investment Advisory firm - (12/3/2003 Terminated)

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Contact information

Main Address

2801 Waterman Blvd., Suite 250, Fairfield, CA 94534

Mailing Address

Phone number

(707) 428-5500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A AND 2B (3/20/2025)

Regulatory assets under management

Total Number of Accounts	495
AUM (Assets Under Management)	$ 554,131,384

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.

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Advisor Monitoring

Firm Stability Insights

Michael J. Hathaway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Jeffrey Hathaway's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

RBC CAPITAL MARKETS, LLC

CITIGROUP GLOBAL MARKETS INC.

SALOMON BROTHERS INC.

Primary Firm SEC Registration

EPSILON FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/8/2018

Series 63

Date: 10/14/1997

SIE

Date: 8/30/2018

Series 7

Date: 1/17/2018

Current Firm

EPSILON FINANCIAL GROUP, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EPSILON FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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