Scott P. Hawley
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.
Scott Patrick Hawley, who also goes by Scott Hawley, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2004. Scott had worked at 5 firms and has passed the Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2021 - February 7, 2022
DV EQUITIES
March 5, 2021 - August 30, 2021
DV SECURITIES, LLC
July 15, 2014 - February 24, 2021
QUIET LIGHT SECURITIES, LLC
March 15, 2010 - July 1, 2014
LIQUID CAPITAL MARKETS, LLC
October 6, 2004 - March 6, 2009
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 3/26/2024
Securities Trader ExamCurrent Firm
DV EQUITIES
CRD#: 312688 / SEC#: , 8-70659
Contact information
Documents
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.
