Tracy W. Hawbaker

CLADIS INVESTMENT ADVISORY LLC

BILLINGS, MT 59102

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CRD#: 4981864

Professional summary

Tracy Weidler Hawbaker, who also goes by Tracy Hawbaker, Tracy Lynn Weidler, is a registered financial advisor currently at CLADIS INVESTMENT ADVISORY LLC located in Billings, Montana.

Tracy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Tracy has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tracy Hawbaker | Tracy Lynn Weidler

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 Tracy Weidler Hawbaker'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

January 25, 2013 - Present

CLADIS INVESTMENT ADVISORY LLC

Office #1: 180 S. 32nd Street West Suite 1, Billings, MT 59102

RIA

CRD#: 153873

BILLINGS, MT

Past

February 5, 2007 - July 16, 2010

CAPSTONE WEALTH

RIA

CRD#: 130128

BILLINGS, MT

Past

March 28, 2006 - December 18, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BILLINGS, MT

Past

August 16, 2005 - December 18, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BILLINGS, MT

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".

CLADIS INVESTMENT ADVISORY LLC

CRD#: 153873 / SEC#: 801-126137

RIA

Registered Investment Advisory firm - (7/21/2022 Approved)

Montana

Registered Investment Advisory firm - (8/2/2022 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

Montana
(1/25/2013)

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: 3/27/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/15/2005

General Securities Representative Examination

Current Firm

CLADIS INVESTMENT ADVISORY LLC

CRD#: 153873 / SEC#: 801-126137

RIA

Registered Investment Advisory firm - (7/21/2022 Approved)

Montana

Registered Investment Advisory firm - (8/2/2022 Terminated)

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Contact information

Main Address

180 S. 32nd St. West Suite 1, Billings, MT 59102

Mailing Address

Phone number

(406) 259-4939

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 0318 CLADIS INVESTMENT ADVISORY FORM ADV BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	271
AUM (Assets Under Management)	$ 206,599,567

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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Tracy W. Hawbaker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracy Weidler Hawbaker's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLADIS INVESTMENT ADVISORY LLC

CAPSTONE WEALTH

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CLADIS INVESTMENT ADVISORY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/27/2006

Series 7

Date: 8/15/2005

Current Firm

CLADIS INVESTMENT ADVISORY LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLADIS INVESTMENT ADVISORY LLC

TRUST BUT VERIFY

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