RM
Richard C. Morrow
HBKS WEALTH ADVISORS
CANFIELD, OH 44406
Some features on this profile are disabled
CRD#: 4297229
RM
Professional summary
Richard Charles Morrow JR., CFP®, who also goes by Rich C Morrow, is a registered financial advisor currently at HBKS WEALTH ADVISORS located in Canfield, Ohio.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Richard has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rich C Morrow
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) HBK SORCE INSURANCE LLC; INVESTMENT RELATED; 7620 MARKET STREET, SUITE 202, BOARDMAN, OH 44512; INSURANCE AGENCY; AGENT; 1/5/09; 80HRS/MO; 1HR DURING TRADING; INSURANCE AGENT. (2) HILL BARTH & KING LLC; NO; 7620 MARKET STREET, SUITE 202, BOARDMAN OH 44512; PUBLIC ACCOUNTING; CPA; 1/5/09; 80HRS/MO; 1HR DURING TRADING; TAX ACCOUNTING. (3) HBK Financial Holdings, LLC. Not Investment Related. 6603 Summit Drive, Canfield, OH 44406. Holding Company. Owner/Member. 01/2015. 0 Hrs/Mo; 0 During Trading Hours. Passive Only. No Active Management Responsibilities. (4) HBK SORCE HOLDINGS LLC; YES; 6603 SUMMIT DRIVE,CANFIELD, OH 44406; DIRECT OWNER; 1/5/09; 0HRS; OHRS; N/A. (5) RESCUE MISSION OF MAHONING. NOT INVESTMENT RELATED. 962 MARTIN LUTHER KING BLVD, YOUNGSTOWN, OH 44510. HOMELESS SHELTER. TREASURER. 10/2016. 0 HRS/MO; 0 DURING TRADING HOURS. BOARD MEMBER. (6) PREGNANCY HELP CENTER. NOT INVESTMENT RELATED. 4845 MARKET STREET, SUITE 13, YOUNGSTOWN, OH 44512. HELP CENTER. TREASURER. 10/2016. 0 HRS/MO; 0 DURING TRADING HOURS. BOARD MEMBER. (7) HBK Erie Realty (8) HBK Fort Myers Realty (9) HBK Hermitage Realty (10) HBK Meadville Realty (11) HBK Naples Realty. NOT INVESTMENT RELATED. 6603 SUMMIT DR, CANFIELD OH 44406. PASSIVE OWNER. 01/2009. 0HRS MONTH/0TRADING HRS.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Charles Morrow JR.'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®
Start date: 1997
Experience
Current
January 17, 2001 - Present
HBKS WEALTH ADVISORS
Office #1: 6603 Summit Drive, Canfield, OH 44406RIA
CRD#: 112139
CANFIELD, OH
Past
January 2, 2009 - January 5, 2021
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Canfield, OH
Past
September 30, 2005 - January 7, 2009
SECURITIES AMERICA, INC.
BD
CRD#: 10205
BOARDMAN, OH
Past
November 30, 2000 - October 5, 2005
CAP PRO BROKERAGE SERVICES, INC.
BD
CRD#: 103953
COLUMBUS, OH
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".
HW
HBKS WEALTH ADVISORS
HBK ADVISORY SERVICES LLC | PRESQUE ISLE CAPITAL MANAGEMENT | LEVEL 3 | HBKS WEALTH ADVISORS | HBK SORCE FINANCIAL LLC | HBK SORCE ADVISORY LLC
CRD#: 112139 / SEC#: 801-60424
RIA
Registered Investment Advisory firm - (7/19/2001 Approved)Ohio
Registered Investment Advisory firm - (11/28/2000 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/29/2001 Terminated)Wyoming
Registered Investment Advisory firm - (11/9/2017 Terminated)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
Florida(6/6/2001)
IAR
Ohio(1/17/2001)
IAR
Pennsylvania(4/26/2001)
IAR
Texas(8/5/2002)
IAR
Virginia(8/14/2001)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/21/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
HW
HBKS WEALTH ADVISORS
HBK ADVISORY SERVICES LLC | PRESQUE ISLE CAPITAL MANAGEMENT | LEVEL 3 | HBKS WEALTH ADVISORS | HBK SORCE FINANCIAL LLC | HBK SORCE ADVISORY LLC
CRD#: 112139 / SEC#: 801-60424
RIA
Registered Investment Advisory firm - (7/19/2001 Approved)Ohio
Registered Investment Advisory firm - (11/28/2000 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/29/2001 Terminated)Wyoming
Registered Investment Advisory firm - (11/9/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2725 Colonial Ave, Erie, PA 16506
Mailing Address
Phone number
(814) 836-5776
Established
Firm type
Fiscal year end
# of Employees
109
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,190 |
| AUM (Assets Under Management) | $ 7,661,939,874 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 07/28/2023 |
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.
