Geoffrey F. Hathhorn

MISSIONSQUARE RETIREMENT

Rio Rancho, NM

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CRD#: 4985057

Professional summary

Geoffrey F Hathhorn is a registered financial advisor currently at MISSIONSQUARE RETIREMENT located in Rio Rancho, New Mexico and MISSIONSQUARE INVESTMENT SERVICES located in Washington, District Of Columbia.

Geoffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Geoffrey has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.

Chili's Restaurant. Non-investment related. Address: 585 Highway 528, Bernalillo, NM 87004. Position: Cook. Start Date: 5/23/2022. Number of hours devoted to the other business: 20-25/week; during securities trading hours 0.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Geoffrey F Hathhorn'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

July 19, 2010 - Present

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

Rio Rancho, NM

Current

July 19, 2010 - Present

MISSIONSQUARE INVESTMENT SERVICES

Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240

CRD#: 23189

Washington, DC

Past

December 4, 2008 - July 7, 2009

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

HENDERSON, NV

Past

December 4, 2008 - July 7, 2009

HILLTOP SECURITIES INC.

CRD#: 6220

HENDERSON, NV

Past

September 9, 2005 - December 9, 2008

M.L. STERN & CO., LLC.

RIA

CRD#: 8327

HENDERSON, NV

Past

August 17, 2005 - December 9, 2008

M.L. STERN & CO., LLC.

CRD#: 8327

HENDERSON, NV

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".

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

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

Alabama
(10/7/2021)

Alaska
(10/15/2021)

Arizona
(10/18/2021)

Arkansas
(10/8/2021)

California
(10/8/2021)

Colorado
(7/19/2010)

Connecticut
(10/8/2021)

Delaware
(10/15/2021)

District of Columbia
(10/12/2021)

Florida
(10/8/2021)

Georgia
(10/9/2021)

Hawaii
(10/8/2021)

Idaho
(10/8/2021)

Illinois
(10/8/2021)

Indiana
(10/8/2021)

Iowa
(10/12/2021)

Kansas
(10/8/2021)

Kentucky
(10/11/2021)

Louisiana
(10/11/2021)

Maine
(10/7/2021)

Maryland
(10/12/2021)

Massachusetts
(10/8/2021)

Michigan
(10/11/2021)

Minnesota
(10/8/2021)

Mississippi
(10/11/2021)

Missouri
(10/12/2021)

Montana
(10/8/2021)

Nebraska
(10/12/2021)

Nevada
(10/14/2021)

New Hampshire
(10/19/2021)

New Jersey
(10/8/2021)

New Mexico
(7/19/2010)

IAR

New Mexico
(7/19/2010)

New York
(10/9/2021)

North Carolina
(10/8/2021)

North Dakota
(10/11/2021)

Ohio
(10/7/2021)

Oklahoma
(10/11/2021)

Oregon
(10/25/2021)

Pennsylvania
(10/8/2021)

Rhode Island
(10/18/2021)

South Carolina
(10/8/2021)

South Dakota
(10/14/2021)

Tennessee
(10/8/2021)

Texas
(7/19/2010)

Utah
(10/8/2021)

Vermont
(10/7/2021)

Virginia
(10/9/2021)

Washington
(10/7/2021)

West Virginia
(10/21/2021)

Wisconsin
(10/8/2021)

Wyoming
(10/11/2021)

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

Exams

State Security Law Exam

IAR

Series 66

Date: 9/8/2005

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: 8/15/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/6/2025

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

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Contact information

Main Address

777 North Capitol Street Ne, Suite 600, Washington, DC 20002-4240

Mailing Address

Phone number

(202) 962-4600

Established

Firm type

Fiscal year end

# of Employees

599

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GUIDED PATHWAYS ADVISORY SERVICES (10/30/2025)

INSURANCE CONTRACT SEPARATE ACCOUNT ADVISORY SERVICES (3/31/2025)

INSTITUTIONAL ASSET ALLOCATION ADVISORY SERVICES (3/31/2025)

Regulatory assets under management

Total Number of Accounts	58,580
AUM (Assets Under Management)	$ 5,959,398,729

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/27/2023	Cover Page	Report
01/27/2023	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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Geoffrey F. Hathhorn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Geoffrey F Hathhorn's CRS (Customer Relationship Summary).

Certified licenses

Experience

MISSIONSQUARE INVESTMENT SERVICES

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

M.L. STERN & CO., LLC.

M.L. STERN & CO., LLC.

Primary Firm SEC Registration

MISSIONSQUARE RETIREMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 9/8/2005

SIE

Date: 10/1/2018

Series 7

Date: 8/15/2005

Series 24

Date: 5/6/2025

FINRA

Current Firm

MISSIONSQUARE RETIREMENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MISSIONSQUARE RETIREMENT

TRUST BUT VERIFY

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