Spencer O. Hawkins

SPENCER HAWKINS INVESTMENT ADVISER

Upper Arlington, OH

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CRD#: 4281861

Professional summary

Spencer Odom Hawkins, CFP®, who also goes by Spencer O Hawkins, is a registered financial advisor currently at SPENCER HAWKINS INVESTMENT ADVISER, LLC located in Upper Arlington, Ohio.

Spencer is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Spencer has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Spencer O Hawkins

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.

PROTECTED WORLD INSURANCE AGENCY, LLC, NON-INVESTMENT RELATED BUSINESS 2138 HARWITCH RD, UPPER ARLINGTON, OH 43221. OWNER/PRINCIPAL AGENT OF INDEPENDENT INSURANCE AGENCY REPRESENTING ALL MAJOR LINES OF INSURANCE. I DEVOTE 80 HOURS PER MONTH WORKING AGENCY BUSINESS, OCCURING UP TO 25 HOURS PER MONTH DURING SECURITIES TRADING HOURS (TYPICALLY ONE HOUR PER WEEKDAY DURING TRADING HOURS). I AM COMPENSATED BY COMMISSIONS. DUTIES: MARKETING, SALES, QUOTING, BINDING, UNDERWRITING DILIGENCE, BILLING AND POLICY ASSISTANCE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Spencer Odom 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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

November 7, 2018 - Present

SPENCER HAWKINS INVESTMENT ADVISER, LLC

RIA

CRD#: 298545

Upper Arlington, OH

Past

February 1, 2016 - August 27, 2018

SOUTHEAST INVESTMENTS, N.C., INC.

RIA

CRD#: 43035

UPPER ARLINGTON, OH

Past

March 20, 2014 - August 27, 2018

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

January 25, 2013 - February 18, 2014

NATIONWIDE SECURITIES, LLC

RIA

CRD#: 11173

WESTERVILLE, OH

Past

November 26, 2012 - February 18, 2014

NATIONWIDE SECURITIES, LLC

CRD#: 11173

WESTERVILLE, OH

Past

February 11, 2010 - November 2, 2012

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

April 29, 2008 - December 31, 2009

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

UPPER ARLINGTON, FL

Past

January 3, 2008 - December 31, 2009

KOVACK SECURITIES INC.

CRD#: 44848

UPPER ARLINGTON, OH

Past

February 18, 2004 - December 31, 2007

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

UPPER ARLINGTON, OH

Past

August 3, 2001 - March 11, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

Ohio
(11/7/2018)

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: 8/23/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/27/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/1/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/1/2008

General Securities Principal Examination

Current Firm

SPENCER HAWKINS INVESTMENT ADVISER, LLC

CRD#: 298545 / SEC#:

Ohio

Registered Investment Advisory firm - (11/7/2018 Approved)

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Contact information

Main Address

Columbus, OH

Mailing Address

Phone number

(614) 488-2600

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	24
AUM (Assets Under Management)	$ 2,859,853

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

Spencer O. Hawkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Spencer Odom Hawkins's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUTHEAST INVESTMENTS, N.C., INC.

SOUTHEAST INVESTMENTS, N.C., INC.

NATIONWIDE SECURITIES, LLC

NATIONWIDE SECURITIES, LLC

SOUTHEAST INVESTMENTS, N.C., INC.

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

BRECEK & YOUNG ADVISORS, INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/23/2001

SIE

Date: 8/27/2018

Series 7

Date: 8/1/2001

Series 24

Date: 4/1/2008

Current Firm

SPENCER HAWKINS INVESTMENT ADVISER, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SPENCER HAWKINS INVESTMENT ADVISER, LLC

TRUST BUT VERIFY

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