Lawrence H. Hatheway

HARBORADVISORS

Redding, CT

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CRD#: 3198019

Professional summary

Lawrence Howell Hatheway, who also goes by Larry Hatheway, is a registered financial advisor currently at HARBORADVISORS, LLC located in Redding, Connecticut.

Lawrence is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Lawrence has worked at 2 firms and has passed the Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Larry Hatheway

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.

Jackson Hole Economics, Co-founder. Non-profit research forum, publishing articles on economics, politics, policy and broad financial market conditions. No investment or securities advice given and no income derived from readers or subscribers. Parent company is FHResearch, LLC. Lawrence Hatheway holds the position of adjunct professor/lecturer at both Fairfield University (Fairfield, CT) and the University of Wyoming (Laramie, WY), where he teaches undergraduate and graduate courses in economics. Not investment related. William H. Hatheway Testamentary Trust - Lawrence Hatheway is the trustee for the William H. Hatheway (deceased) family inheritance trust. This is a non-paid position and Mr. Hatheway is trustee on behalf of the beneficiaries, who are his four adult children. Not investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Howell Hatheway's 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®

None

Experience

Current

July 1, 2020 - Present

HARBORADVISORS, LLC

RIA

CRD#: 309594

Redding, CT

Past

December 22, 1999 - July 16, 2015

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

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

Connecticut
(5/12/2021)

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 65

Date: 6/29/2020

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 7/16/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/1999

General Securities Representative Examination

Current Firm

HARBORADVISORS, LLC

CRD#: 309594 / SEC#:

Connecticut

Registered Investment Advisory firm - (5/12/2021 Approved)

Wyoming

Registered Investment Advisory firm - (5/12/2021 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).

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Contact information

Main Address

Redding, CT

Mailing Address

Phone number

(475) 988-5672

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Lawrence H. Hatheway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Howell Hatheway's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBORADVISORS, LLC

UBS SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/2020

SIE

Date: 7/16/2015

Series 7

Date: 12/21/1999

Current Firm

HARBORADVISORS, LLC

Contact information

Documents

Red Flags

Company Information

HARBORADVISORS, LLC

TRUST BUT VERIFY

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