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Craig Fox Hancock

CRD# 4632502·Registered 2003 - 2013
Previously Registered: Being a previously registered professional could mean that Craig 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.

Professional Summary

Craig Fox Hancock, who also goes by Craig Hancock, was a registered financial advisor. Craig was a previously registered financial professional and started their career in finance 2003 - 2013. Craig had worked at 3 firms and has passed the Series 66 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Craig Hancock

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

23 years in the financial services industry

Current & Past Employments

WESTLAKE SECURITIES·CRD# 127112
BD
Austin, TX
January 14, 2013 - June 10, 2013
BLUEFIN RESEARCH PARTNERS, INC.·CRD# 119582
BD
San Francisco, CA
October 19, 2006 - January 15, 2013
WEDBUSH SECURITIES INC.·CRD# 877
BD
Los Angeles, CA
March 19, 2003 - October 18, 2006

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Current Firm

WS
WESTLAKE SECURITIES

CAPITAL NETWORK SECURITIES | WESTLAKE SECURITIES, LLC | WESTLAKE SECURITIES | CAPITAL NETWORK SECURITIES, LLC

CRD#: 127112 / SEC#: 8-65957
BD
Terminated by SEC on 11/25/2017

Contact Information

Established

Texas since 03/21/2003

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
WESTLAKE GROUP, LLCHOLDING COMPANY—
ALLEN, WILSON GUINARDMANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER2814345
DAVIS, BEN DAVIDMANAGING DIRECTOR5325260
EWING, JOHN RANDOLPHMANAGING DIRECTOR5280513
FINCH, RANDY GENEMANAGING DIRECTOR4958099
STERLING, DONALD WILLIAMFINOP1192425

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Mar 2003About the Series 66 exam

Series 7 — General Securities Representative Examination

Passed Mar 2003About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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