Thomas H. Hawks

FLOWER CITY CAPITAL LLC

Pittsford, NY 14534

Some features on this profile are disabled

CRD#: 4880235

Professional summary

Thomas Harris Hawks III, CFP®, who also goes by Thomas Harris Hawks III III, Thomas Harris Hawks Iii, is a registered financial advisor currently at FLOWER CITY CAPITAL LLC located in Pittsford, New York.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Thomas has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Insurance Planning

Tax Planning

Retirement Planning

Investment Planning

Estate Planning

Do you have an area of expertise or specialization?

Cash Flow/Budgets/Credit Issue...

Estate & Generational Planning...

High Net Worth Client Needs

Investment Advice with Ongoing...

Retirement Plan Investment Adv...

Tax Planning

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

Thomas Harris Hawks Iii Iii | Thomas Harris Hawks Iii

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.

HAWKS, THOMAS HARRIS is a Manager of Allens Creek Partners, LP, a private fund.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Harris Hawks III'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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

July 22, 2021 - Present

FLOWER CITY CAPITAL LLC

Office #1: 1 Fishers Rd Suite 220, Pittsford, NY 14534

RIA

CRD#: 281503

Pittsford, NY

Past

February 17, 2009 - October 12, 2011

CONVERGENT WEALTH ADVISORS, LLC

RIA

CRD#: 143719

POTOMAC, MD

Past

November 29, 2005 - September 15, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

ROCHESTER, 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".

FLOWER CITY CAPITAL LLC

CRD#: 281503 / SEC#: 801-113630

RIA

Registered Investment Advisory firm - (7/19/2018 Approved)

New York

Registered Investment Advisory firm - (12/22/2020 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.

Highlighted states indicate IAR registrations

IAR

New York
(7/22/2021)

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 65

Date: 1/26/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/17/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/28/2005

General Securities Representative Examination

Current Firm

FLOWER CITY CAPITAL LLC

CRD#: 281503 / SEC#: 801-113630

RIA

Registered Investment Advisory firm - (7/19/2018 Approved)

New York

Registered Investment Advisory firm - (12/22/2020 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1 Fishers Rd Suite 220, Pittsford, NY 14534

Mailing Address

Phone number

(585) 236-8501

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

ADV PART 2B-RIZZOLO (3/11/2025)

ADV PART 2B - THOMAS HAWKS (3/11/2025)

ADV PART 2A-FLOWER CITY CAPITAL LLC (3/11/2025)

Regulatory assets under management

Total Number of Accounts	827
AUM (Assets Under Management)	$ 333,588,065

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.

Similar Advisors

Mark Downey

RAYMOND JAMES & ASSOCIATES, INC.

IAR

Rochester, NY

Donald Devitto

RBC CAPITAL MARKETS, LLC

IAR

Rochester, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas H. Hawks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Harris Hawks III's CRS (Customer Relationship Summary).

Certified licenses

Experience

FLOWER CITY CAPITAL LLC

CONVERGENT WEALTH ADVISORS, LLC

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

FLOWER CITY CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/26/2007

Series 63

Date: 2/17/2006

Series 7

Date: 11/28/2005

Current Firm

FLOWER CITY CAPITAL LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FLOWER CITY CAPITAL LLC

TRUST BUT VERIFY

Similar Advisors