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KH

Kurt A. Hawkesworth

Some features on this profile are disabled
CRD#: 4043037
KH

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.

Kurt Alexander Hawkesworth, CPWA® was a registered financial professional .

Kurt is a previously registered financial professional and started their career in finance in 1999. Kurt had worked at 6 firms and has passed the Series 66, Series 63, Series 57TO, Series 62, Series 99TO, Series 82TO, SIE, Series 55, Series 7, Series 4 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.
NAME OF OTHER BUSINESS: WIDE OPEN TRUCKING, INC. IS THE BUSINESS IS INVESTMENT-RELATED? YES THE ADDRESS OF THE OTHER BUSINESS: 3353 PEACHTREE RD, N.E., SUITE 940, ATLANTA, GEORGIA 30326 THE NATURE OF THE BUSINESS: TRUCKING YOUR POSITION/TITLE: EVP/PARTNER YOUR RELATIONSHIP WITH THE OTHER BUSINESS: OWNER/PARTNER THE START DATE OF YOUR RELATIONSHIP: 12/10/13 THE APPROXIMATE NUMBER OF HOURS/MONTH YOU DEVOTE TO THE OTHER BUSINESS: 10 HRS THE NUMBER OF HOURS YOU DEVOTE TO THE OTHER BUSINESS DURING SECURITIES TRADING HOURS: ZERO BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS:PASSIVE INVESTOR/BOARD MEMBER BUSINESS NAME: INFINITY TRUCKING & LOGISTICS, INC. ADDRESS: 335 PEACHTREE ROAD, SUITE 940, ATLANTA GEORGIA 30326 NATURE OF BUSINESS: DELIVER FEDEX PACKAGES FOR FEDEX POSITION/TITLE: OWNER/DIRECTOR START DATE: JUNE 29, 2013 APPROX # OF HOURS/MONTH: LESS THAN 5 HRS/MONTH APPROX # OF HOURS YOU DEVOTE TO THE OTHER BUSINESS DURING SECURITIES TRADING HOURS: NONE DUTIES RELATING TO THIS OBA: I OWN THE BUSINESS WITH THREE OTHER PARTNERS. WE ALL SERVE AS DIRECTORS ON THE BOARD.

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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®
CPWA®

Certified Private Wealth Advisor

Start date: 2020-12-15

Expire date: 2024-11-30

Experience

Past

June 29, 2006 - May 31, 2024

SYMPHONIC SECURITIES LLC

BD
CRD#: 139512
NEW YORK, NY
Past

August 1, 2005 - May 21, 2024

SYMPHONIC FINANCIAL ADVISORS LLC

RIA
CRD#: 135603
NEW YORK, NY
Past

July 23, 2003 - May 31, 2024

CITY NATIONAL ROCHDALE

RIA
CRD#: 117198
NEW YORK, NY
Past

May 19, 2003 - May 31, 2024

CNR SECURITIES, LLC

BD
CRD#: 18466
NEW YORK, NY
Past

December 21, 2001 - May 15, 2003

HEDGE FUND CAPITAL PARTNERS, LLC

BD
CRD#: 113326
BROOKLYN, NY
Past

November 30, 1999 - May 15, 2003

ELECTRONIC TRADING GROUP, LLC

BD
CRD#: 37453
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
IAR
Series 66
Date: 7/21/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/20/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/24/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/29/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/4/2000
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/30/2000
General Securities Principal Examination

Current Firm

SS
SYMPHONIC SECURITIES LLC
SYMPHONIC SECURITIES LLC

CRD#: 139512 / SEC#: , 8-67220

BD
Terminated by SEC on 07/08/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/02/2005
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CITY NATIONAL ROCHDALE HOLDINGS, INC.MANAGING MEMBER/100% OWNER
BARTON, RICHARD JOSEPHCHIEF COMPLIANCE OFFICER2040869
CEPLER, MITCHELL DANIELCFO AND FINOP4554270
GIAQUINTO, GREGG ROBERTMANAGING DIRECTOR, CLIENT SERVICES & OPERATIONS3182583

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

SYMPHONIC SECURITIES LLC

CRD#: 139512

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