JA
Jason C. Alward
HBKS WEALTH ADVISORS
ERIE, PA 16506
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CRD#: 4843777
JA
Professional summary
Jason Christopher Alward is a registered financial advisor currently at HBKS WEALTH ADVISORS located in Erie, Pennsylvania.
Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Jason 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
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.
1) FROM: 02/2005 TO: PRESENT HBK SORCE ADVISORY LLC ERIE PA USA INVESTMENT RELATED INVESTMENT ADVISOR REPRESENTATIVE DBA HBKS WEALTH ADVISORS At registered location; 2)UP STRATEGIC WEALTH INVESTMENTS ADVISORS LLC DBA STEEL TOWER INVESTMENTS; INVESTMENT RELATED; AT REGISTERED LOCATION/THREE GATEWAY CENTER PITTSBURGH, PA 15222; EMPLOYEE OF HBKS CONDUCTING TRADING/ASSET ALLOCATION FOR AFFILIATED RIA VIA CONSULTING/SUB-ADVISER AGREEMENT; 8/2017; 10 HOURS/MONTH; 10 HOURS/MONTH DURING SECURITIES HOURS; AS AN EMPLOYEE OF HBKS WEALTH ADVISORS, PROVIDE UPSWIA/STI ASSET MANAGEMENT SERVICES PURSUANT TO CONSULTING AND SUB ADVISER AGREEMENTS BETWEEN HBKS AND UPSWIA/STI. THOSE DUTIES INCLUDE PROVIDING TRADING AND ASSET ALLOCATION SERVICES FOR STI CLIENT ACCOUNTS VIA INSTRUCTIONS TO SCHWAB. 3. PINION WEALTH MANAGEMENT DBA PINION WEALTH; INVESTMENT RELATED; 1605 NORTH WATERFRONT PARKWAY SUITE 200 WICHITA, KS 67206; RIA; AUTHORIZED PERSON; 03/2018; 0 HOURS/MONTH; 0 HOURS/MONTH DURING SECURITIES HOURS; PROVIDE BACK OFFICE SERVICES TO PINION WEALTH.
CRS (Client Relationship Summary) - RIA
Click below to view Jason Christopher Alward'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®
NoneExperience
Current
February 23, 2005 - Present
HBKS WEALTH ADVISORS
Office #1: 2725 Colonial Ave, Erie, PA 16506RIA
CRD#: 112139
ERIE, PA
Past
January 2, 2009 - January 5, 2021
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
ERIE, PA
Past
September 30, 2005 - December 31, 2008
SECURITIES AMERICA, INC.
BD
CRD#: 10205
ERIE, PA
Past
December 10, 2004 - 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
Pennsylvania(2/23/2005)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/2/2022
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.
