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PH

Patrick W. Hsu

HAWKEYE INVESTMENT MANAGEMENT LLC
Demarest, NJ
Some features on this profile are disabled
CRD#: 4473554
PH

Professional summary

Patrick Wen Hsu is a registered financial advisor currently at HAWKEYE INVESTMENT MANAGEMENT LLC located in Demarest, New Jersey.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Patrick has worked at 4 firms and has passed the Series 65, Series 66, Series 55, Series 31, Series 7 and Series 24 exams.

top-8-questions

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.
REALTOR (NJ) VOLPE & VOLPE, 640 E. PALISADES AVE, ENGLEWOOD, NJ 07632. NOT INVESTMENT RELATED, REAL ESTATE SALES, STARTED IN 2/2000 APPROX 2 HRS/WEEK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Wen Hsu'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®
None

Experience

Current

February 15, 2012 - Present

HAWKEYE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 153849
Demarest, NJ
Past

October 5, 2010 - October 27, 2011

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY
Past

July 27, 2010 - October 6, 2010

HAWKEYE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 153849
FORT LEE, NJ
Past

November 11, 2009 - April 20, 2010

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
FORT LEE, NJ
Past

May 11, 2005 - July 29, 2009

TAFFERER TRADING, LLC

BD
CRD#: 36816
FORT LEE, NJ
Past

November 14, 2001 - May 4, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
New Jersey
(2/15/2012)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/17/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/5/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 5/13/2005
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 31
Date: 12/13/2001
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 11/13/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/24/2009
General Securities Principal Examination

Current Firm

HI
HAWKEYE INVESTMENT MANAGEMENT LLC
HAWKEYE INVESTMENT MANAGEMENT LLC

CRD#: 153849 / SEC#:

New Jersey
Registered Investment Advisory firm - (2/14/2012 Approved)
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Contact information

Main Address
Demarest, NJ
Mailing Address
Phone number
(201) 803-1332
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts16
AUM (Assets Under Management)$ 9,000,000

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.

Company Information

HAWKEYE INVESTMENT MANAGEMENT LLC

CRD#: 153849Demarest, NJ

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