MH
Mark S. Hawkes
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CRD#: 3125846
MH
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.
Mark Swainston Hawkes was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1998. Mark had worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
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.
1) Fiduciary Appointment-Trustee 2700 Ygnacio Valley Road, Suite 140~Walnut Creek~CA~94598~5/9/2013~10hrs~2hrs~Managing the leases, reviewing management of the investment portfolio, managing the bank accounts, and performing related fiduciary responsibilities 2) Colusa Resources LLC 2700 Ygnacio Valley Road, Suite 140~Walnut Creek~CA~94598~Other~Other~11/1/2008~1hrs~1hrs~Administrative 3) Fiduciary Appointment-Trustee 1709 St Emilion Lane~Brentwood~CA~94513~5/17/2019~10hrs~8hrs~As trustee, I am responsible to manage the assets of the trust and provide specified distributions to the beneficiary. 4) Hawkes Hastings & Aaron Accountancy Corporation 2700 Ygnacio Valley Road Suite 140~Walnut Creek~CA~94598~Accounting Services/Tax Preparation~Owner~10/7/2019~160hrs~20hrs~CPA performing tax and accounting services. 5) DBA HAWKES HASTINGS & AARON FINANCIAL SERVICES; Owner: Hawkes Hastings & Aaron Financial Services is a dba for Hawkes Hastings & Aaron Accountancy Corporation. The dba is used for purposes for answering incoming phone calls. INVESTMENT RELATED: Yes; 0; 0; STARTED 10/01/2021; 2700 Ygnacio Valley Rd, Ste 140, Walnut Creek CA 94598, US; I have no duties associated with the dba. All of my services are listed under the name of Hawkes Hastings & Aaron Accountancy Corporation. 6) PEREZ FAMILY TRUST; POSITION: Co-trustee NATURE: At the death of the grantor of the trust, I became successor co-trustee of the trust. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 06/28/2022; 2700 Ygnacio Valley Rd, Ste 140, Walnut Creek CA 94598, US; As co-trustee, I have responsibility to administer the assets of the trust and provide for a timely settlement of the trust by distributing the assets to the beneficiaries of the trust. 7) RENTAL PROPERTY POSITION: Owner NATURE: Single family dwelling rental property. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 1525 Talisman Way, Concord CA 94521, United States DESCRIPTION: I am the landlord. 8) AVANTAX INSURANCE AGENCY AND/OR AVANTAX INSURANCE SERVICES. POSITION: Financial Advisor NATURE: Provide insurance products to clients INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 10/26/2022 ADDRESS: 2700 Ygnacio Valley Rd, Ste 140, Walnut Creek CA 94598, United States DESCRIPTION: Provide insurance products to clients.
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®
NoneExperience
Past
October 30, 2000 - December 31, 2023
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
WALNUT CREEK, CA
Past
December 7, 1998 - December 31, 2023
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
WALNUT CREEK, CA
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
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Contact information
Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
