AH
Alan M. Hawkins
INTRUA FINANCIAL
Houston, TX 77098
Some features on this profile are disabled
CRD#: 4070628
AH
Professional summary
Alan Matthew Hawkins, AIF® is a registered financial advisor currently at INTRUA FINANCIAL located in Houston, Texas and LPL FINANCIAL LLC located in Houston, Texas.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Alan has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) 03/11/2015 - INTRUA FINANCIAL - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) - START 04/02/2015 - NO TIME SPENT. (2) 10/8/2015: Intrua Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start 10/15/2015 - 120 Hours Per Month During Securities Trading - erve as an Investment Advisor Representative under the Intrua Financial RIA. Activities may include financial planning, rendering investment advice for a fee, retirement plan consulting, or other related financial consulting. (3) 11/15/2018 - No Business Name - Not Investment Related - Home Based - Other-TEXAS NOTARY - Started 10/24/2018 - 0 Hours Per Month. (4) 11/26/2018 - Hawkslan - Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Started 05/31/2013 - 1 Hour Per Month During Securities Trading. (5) 07/11/2022 - No Business Name - Investment Related - Houston Texas 77008 - Real Estate Rental - Start Date - 08/01/2020 - 4 Hours Per Month/0 Hours During Securities Trading. (6) 07/11/2022 - No Business Name - Investment Related - Houston Texas 77008 - Real Estate Rental - Start Date - 05/01/2018 - 4 Hours Per Month/0 Hours During Securities Trading. (7) 01/25/2024 - Hawkslan LP - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Home Based - Start Date 05/31/2013 - 0 Hours Per Month/ 0 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Alan Matthew Hawkins'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®
Experience
Current
October 28, 2015 - Present
INTRUA FINANCIAL
Office #1: 3737 Buffalo Speedway Suite 400, Houston, TX 77098RIA
CRD#: 281554
Houston, TX
Current
January 31, 2011 - Present
LPL FINANCIAL LLC
Office #1: 3737 Buffalo Speedway Ste 400, Houston, TX 77098RIA
BD
CRD#: 6413
Houston, TX
Past
January 31, 2011 - December 23, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOUSTON, TX
Past
January 1, 2004 - February 14, 2011
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
HOUSTON, TX
Past
February 3, 2003 - February 14, 2011
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
HOUSTON, TX
Past
September 7, 2001 - January 1, 2004
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
December 7, 1999 - August 28, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
December 7, 1999 - August 28, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
IF
INTRUA FINANCIAL
COMPASS WEALTH SOLUTIONS | WORKOPTIONAL | RANDY GILLESPIE & ASSOCIATES | OAKMONT FINANCIAL GROUP | JEFF PEACE FINANCIAL | INTRUA FINANCIAL LLC | INTRUA FINANCIAL ADVISORY SERVICES | INTRUA FINANCIAL | HORIZENT TEAM | FREEDOM WEALTH ALLIANCE | CORNERSTONE INVESTMENT STRATEGIES
CRD#: 281554 / SEC#: 801-106767
RIA
Registered Investment Advisory firm - (10/23/2015 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/30/2021)
RR
California(6/7/2011)
IAR
California(10/28/2015)
RR
Kentucky(2/24/2020)
IAR
North Carolina(5/22/2018)
RR
Texas(1/31/2011)
IAR
Texas(10/28/2015)
RR
Wisconsin(1/31/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IF
INTRUA FINANCIAL
COMPASS WEALTH SOLUTIONS | WORKOPTIONAL | RANDY GILLESPIE & ASSOCIATES | OAKMONT FINANCIAL GROUP | JEFF PEACE FINANCIAL | INTRUA FINANCIAL LLC | INTRUA FINANCIAL ADVISORY SERVICES | INTRUA FINANCIAL | HORIZENT TEAM | FREEDOM WEALTH ALLIANCE | CORNERSTONE INVESTMENT STRATEGIES
CRD#: 281554 / SEC#: 801-106767
RIA
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Contact information
Main Address
3737 Buffalo Speedway Suite 400, Houston, TX 77098
Mailing Address
Phone number
(713) 355-9910
Established
Firm type
Fiscal year end
# of Employees
48
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,051 |
| AUM (Assets Under Management) | $ 1,212,765,982 |
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.
