Thomas M. Hawley

BEARING POINT CAPITAL

Bloomington, MN 55431

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CRD#: 4226875

Professional summary

Thomas Matthew Hawley is a registered financial advisor currently at BEARING POINT CAPITAL located in Bloomington, Minnesota.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Thomas has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.

Rental Property; Investment related; Edina, MN; Rental; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); Jan 2019; During business hours: 0; After business hours: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Matthew Hawley's CRS (Customer Relationship Summary).

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

August 2, 2024 - Present

BEARING POINT CAPITAL

Office #1: 3800 American Blvd. West Suite 920, Bloomington, MN 55431

RIA

CRD#: 332023

Bloomington, MN

Past

December 14, 2015 - August 13, 2024

MORGAN STANLEY

RIA

CRD#: 149777

Bloomington, MN

Past

December 2, 2015 - August 13, 2024

MORGAN STANLEY

CRD#: 149777

Bloomington, MN

Past

August 16, 2004 - May 18, 2005

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

MINNEAPOLIS, MN

Past

January 22, 2002 - May 18, 2005

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

July 26, 2000 - April 12, 2001

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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".

BEARING POINT CAPITAL

BEARING POINT CAPITAL | BEARING POINT CAPITAL, LLC

CRD#: 332023 / SEC#: 801-130682

RIA

Registered Investment Advisory firm - (8/1/2024 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.

Highlighted states indicate IAR registrations

IAR

Minnesota
(8/2/2024)

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: 12/14/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/15/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/2/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/25/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BEARING POINT CAPITAL

BEARING POINT CAPITAL | BEARING POINT CAPITAL, LLC

CRD#: 332023 / SEC#: 801-130682

RIA

Registered Investment Advisory firm - (8/1/2024 Approved)

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Contact information

Main Address

3800 American Blvd. West Suite 935, Bloomington, MN 55431

Mailing Address

Phone number

(952) 800-6301

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BEARING POINT ADV PART 2A BROCHURE 3 2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	715
AUM (Assets Under Management)	$ 907,456,293

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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Advisor Monitoring

Firm Stability Insights

Thomas M. Hawley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Matthew Hawley's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

BEARING POINT CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 12/14/2015

Series 63

Date: 8/15/2000

SIE

Date: 10/1/2018

Series 7

Date: 12/2/2015

Series 6

Date: 7/25/2000

Current Firm

BEARING POINT CAPITAL

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BEARING POINT CAPITAL

TRUST BUT VERIFY

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