Hugh P. Tawney
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.
Hugh Pagon Tawney, who also goes by Hugh Pagon Tawney, was a registered financial professional .
Hugh is a previously registered financial professional and started their career in finance in 2009. Hugh had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2021 - January 25, 2025
RIVERROCK ASSET MANAGEMENT LLC
March 20, 2019 - April 30, 2021
L & S ADVISORS, INC
October 6, 2017 - March 15, 2019
QUASAR DISTRIBUTORS, LLC
October 6, 2014 - March 15, 2019
TORRAY INVESTMENT PARTNERS LLC
April 21, 2010 - February 6, 2013
MORGAN STANLEY
April 21, 2010 - February 6, 2013
MORGAN STANLEY
June 8, 2009 - December 14, 2009
WADDELL & REED
April 28, 2009 - December 14, 2009
WADDELL & REED
Primary Firm SEC Registration
RIVERROCK ASSET MANAGEMENT LLC
CRD#: 147691 / SEC#: 801-127848
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RIVERROCK ASSET MANAGEMENT LLC
CRD#: 147691 / SEC#: 801-127848
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 126,036,754 |
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.
