Stephen T. Hawbaker
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.
Stephen Turner Hawbaker, who also goes by Stephen T. Hawbaker, Steve Hawbaker, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2012. Stephen had worked at 1 firm and has passed the SIE, Series 7, Series 99, Series 14, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2012 - February 21, 2025
ALLEGHENY INVESTMENTS, LTD.
Primary Firm SEC Registration
ALLEGHENY INVESTMENTS, LTD.
CRD#: 7597 / SEC#: 801-57662, 8-22183
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 28
Date: 1/8/2013
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ALLEGHENY INVESTMENTS, LTD.
CRD#: 7597 / SEC#: 801-57662, 8-22183
Contact information
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,990 |
| AUM (Assets Under Management) | $ 633,814,776 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/10/2025 | ||
| 10/22/2024 | ||
| 08/11/2023 | ||
| 10/08/2022 |
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.
