Thomas M. Pie

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CRD#: 4845794

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.

Thomas More Pie was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2004. Thomas had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

November 12, 2008 - April 16, 2019

HAZLETT, BURT & WATSON, INC.

RIA

CRD#: 396

WHEELING, WV

Past

November 12, 2008 - April 16, 2019

HAZLETT, BURT & WATSON, INC.

CRD#: 396

WHEELING, WV

Past

February 21, 2006 - November 25, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

WHEELING, WV

Past

February 21, 2006 - November 25, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

WHEELING, WV

Past

December 13, 2004 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

WHEELING, WV

Past

October 11, 2004 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

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".

HAZLETT, BURT & WATSON, INC.

HAZLETT, BURT & WATSON, INC. | SECURITY CAPITAL MANAGEMENT

CRD#: 396 / SEC#: 801-66333, 8-17737

RIA

Registered Investment Advisory firm - SEC (3/29/2006 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/10/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/9/2004

General Securities Representative Examination

Current Firm

HAZLETT, BURT & WATSON, INC.

HAZLETT, BURT & WATSON, INC. | SECURITY CAPITAL MANAGEMENT

CRD#: 396 / SEC#: 801-66333, 8-17737

RIA

Registered Investment Advisory firm - SEC (3/29/2006 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1300 Chapline Street, Wheeling, WV 26003

Mailing Address

1300 Chapline Street, Wheeling, WV 26003

Phone number

(304) 233-3312

Established

West Virginia since 09/06/1973

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (15 States and Territories)

FINRA licenses (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ASSET MANAGEMENT ACCOUNT BROCHURE (11/10/2025)

DIRECT MANAGED WRAP PROGRAM (11/10/2025)

Direct owners and executive officers

Name	Position	CRD#
HB&W, INC.	PARENT COMPANY
BARICKMAN, MICHAEL THOMPSON	EXEC VP / DIRECTOR	1535665
BIDWELL, TIMOTHY MORGAN	EXEC VP / CFO / CHIEF COMPLIANCE OFFICER / DIRECTOR	4296834
BURECH, HAROLD BRUCE	DIRECTOR /SR VP	856313
ECHOLS, MARILYNN SUE	EXECUTIVE VICE PRESIDENT / DIRECTOR	818946
MARSH, JASON LEE	CHAIRMAN / CEO / DIRECTOR	4792963
WEAVER, GEORGE SPERRY III	SR EXEC VP / DIRECTOR	1061710

Regulatory assets under management

Total Number of Accounts	2,314
AUM (Assets Under Management)	$ 1,197,878,280

Disclosures

Regulatory Event	2
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
01/14/2025	Cover Page	Report
12/19/2023	Cover Page	Report
11/30/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Thomas M. Pie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HAZLETT, BURT & WATSON, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

Primary Firm SEC Registration

HAZLETT, BURT & WATSON, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/10/2004

SIE

Date: 10/1/2018

Series 7

Date: 10/9/2004

Current Firm

HAZLETT, BURT & WATSON, INC.

Contact information

SEC notice filing (15 States and Territories)

FINRA licenses (38 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

HAZLETT, BURT & WATSON, INC.

TRUST BUT VERIFY

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