David J. Hawes

FOUR POINTS ADVISORS

TAMPA, FL

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CRD#: 4847005

Professional summary

David Joshua Hawes, who also goes by Josh Hawes, is a registered financial advisor currently at FOUR POINTS ADVISORS, LLC located in Tampa, Florida and FOUR POINTS CAPITAL PARTNERS LLC located in East Amherst, New York.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. David has worked at 3 firms and has passed the Series 65, Series 63, Series 82TO, Series 79TO, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Josh Hawes

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) - RIA

Click below to view David Joshua Hawes's CRS (Customer Relationship Summary).

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

November 6, 2025 - Present

FOUR POINTS ADVISORS, LLC

RIA

CRD#: 171720

TAMPA, FL

Current

August 5, 2019 - Present

FOUR POINTS CAPITAL PARTNERS LLC

CRD#: 43149

EAST AMHERST, NY

Past

August 14, 2018 - August 1, 2019

DREXEL HAMILTON, LLC

CRD#: 143570

NEW YORK, NY

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".

FOUR POINTS ADVISORS, LLC

FOUR POINTS ADVISORS, LLC | PANTHER CAPITAL ADVISORY, LLC

CRD#: 171720 / SEC#: 801-118971

RIA

Registered Investment Advisory firm - (6/26/2020 Approved)

New York

Registered Investment Advisory firm - (7/1/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(8/5/2019)

IAR

Florida
(11/6/2025)

Nevada
(8/5/2019)

New Jersey
(4/15/2020)

New York
(8/5/2019)

North Carolina
(3/19/2020)

Virginia
(4/15/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/27/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/28/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 79TO

Date: 10/8/2022

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/17/2018

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 5/29/2018

National Commodity Futures Examination

SRO Registrations

FINRA

Current Firm

FOUR POINTS ADVISORS, LLC

FOUR POINTS ADVISORS, LLC | PANTHER CAPITAL ADVISORY, LLC

CRD#: 171720 / SEC#: 801-118971

RIA

Registered Investment Advisory firm - (6/26/2020 Approved)

New York

Registered Investment Advisory firm - (7/1/2020 Terminated)

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Contact information

Main Address

99 Park Avenue Floor 8, New York, NY 10016

Mailing Address

Phone number

(646) 300-6129

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

11.03.2025_ADV PART 2 BROCHURE (11/3/2025)

Regulatory assets under management

Total Number of Accounts	131
AUM (Assets Under Management)	$ 36,999,793

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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Firm Stability Insights

David J. Hawes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Joshua Hawes's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOUR POINTS CAPITAL PARTNERS LLC

DREXEL HAMILTON, LLC

Primary Firm SEC Registration

FOUR POINTS ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/27/2023

Series 63

Date: 6/28/2018

Series 82TO

Date: 1/2/2023

Series 79TO

Date: 10/8/2022

SIE

Date: 10/1/2018

Series 7

Date: 7/17/2018

Series 3

Date: 5/29/2018

FINRA

Current Firm

FOUR POINTS ADVISORS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOUR POINTS ADVISORS, LLC

TRUST BUT VERIFY

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