Kevin M. Theissen

HWC FINANCIAL

MANCHESTER CENTER, VT 05255

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CRD#: 3228847

Professional summary

Kevin Michael Theissen, who also goes by Kevin M Theissen, is a registered financial advisor currently at HWC FINANCIAL located in Manchester Center, Vermont.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Kevin has worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin M Theissen

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.

INDEPENDENT LICENSED INSURANCE AGENT SINCE 01/2010; LUDLOW, VT, APPROXIMATELY 1 HR/MONTH, ALL DURING SECURITIES TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Michael Theissen'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

March 7, 2019 - Present

HWC FINANCIAL

Office #1: 4532 Main Street, Manchester Center, VT 05255

RIA

CRD#: 299845

MANCHESTER CENTER, VT

Past

January 26, 2012 - March 29, 2019

SKYGATE FINANCIAL GROUP, LLC

RIA

CRD#: 159800

LUDLOW, VT

Past

April 19, 2010 - January 17, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

NEW CANAAN, CT

Past

November 27, 2009 - January 17, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

NEW CANAAN, CT

Past

March 11, 2009 - August 31, 2009

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

DARIEN, CT

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

Vermont
(3/7/2019)

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: 3/1/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/26/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/10/2009

General Securities Representative Examination

Current Firm

HWC FINANCIAL

HWC FINANCIAL | HWC, LLC

CRD#: 299845 / SEC#:

Vermont

Registered Investment Advisory firm - (3/7/2019 Approved)

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Contact information

Main Address

4532 Main Street, Manchester Center, VT 05255

Mailing Address

Post Office Box 870, Manchester, VT 05254

Phone number

(802) 227-2279

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	290
AUM (Assets Under Management)	$ 52,340,563

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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Kevin M. Theissen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Michael Theissen's CRS (Customer Relationship Summary).

Certified licenses

Experience

HWC FINANCIAL

SKYGATE FINANCIAL GROUP, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

DAVID LERNER ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/1/2010

Series 63

Date: 3/26/2009

Series 7

Date: 3/10/2009

Current Firm

HWC FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HWC FINANCIAL

TRUST BUT VERIFY

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