JH
Joseph D. Hess
HAZLETT, BURT & WATSON
LANCASTER, PA 17603-1267
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CRD#: 5687341
JH
Professional summary
Joseph D. Hess, who also goes by Joseph D Hess, is a registered financial advisor currently at HAZLETT, BURT & WATSON, INC. located in Lancaster, Pennsylvania.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Joseph has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph D Hess
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.
NAME OF BUSINESS: RENTAL PROPERTY - Walnut INVESTMENT-RELATED ADDRESS: Lancaster, PA POSITION: LANDLORD/OWNER START DATE: 5/2021 APPROXIMATE HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0
CRS (Client Relationship Summary) - RIA
Click below to view Joseph D. Hess's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph D. Hess's 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®
NoneExperience
Current
January 21, 2025 - Present
HAZLETT, BURT & WATSON, INC.
Office #1: 48-50 W Chestnut St Ste 300, Lancaster, PA 17603-1267RIA
BD
CRD#: 396
LANCASTER, PA
Current
January 15, 2025 - Present
HAZLETT, BURT & WATSON, INC.
Office #1: 48-50 W Chestnut St Ste 300, Lancaster, PA 17603-1267RIA
BD
CRD#: 396
LANCASTER, PA
Past
May 1, 2015 - December 31, 2024
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
MALVERN, PA
Past
August 7, 2009 - January 16, 2025
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
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".
HAZLETT, BURT & WATSON, INC.
HAZLETT, BURT & WATSON, INC. | SECURITY CAPITAL MANAGEMENT
CRD#: 396 / SEC#: 801-66333, 8-17737
RIA
Registered Investment Advisory firm - SEC (3/29/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
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
RR
Arizona(1/15/2025)
RR
California(1/15/2025)
IAR
California(4/1/2025)
RR
Colorado(1/15/2025)
IAR
Colorado(4/1/2025)
RR
Delaware(1/15/2025)
RR
Florida(1/15/2025)
IAR
Florida(1/22/2025)
RR
Georgia(1/15/2025)
IAR
Georgia(1/22/2025)
RR
Maryland(1/15/2025)
RR
Massachusetts(1/15/2025)
RR
Michigan(1/15/2025)
RR
Missouri(1/15/2025)
RR
New Jersey(1/15/2025)
IAR
New Jersey(1/21/2025)
RR
New York(1/15/2025)
RR
North Carolina(1/15/2025)
IAR
North Carolina(1/21/2025)
RR
Ohio(1/17/2025)
IAR
Ohio(1/21/2025)
RR
Oregon(1/15/2025)
RR
Pennsylvania(1/15/2025)
IAR
Pennsylvania(1/21/2025)
RR
Rhode Island(1/15/2025)
RR
South Carolina(1/15/2025)
IAR
South Carolina(1/21/2025)
RR
Tennessee(1/15/2025)
RR
Texas(1/15/2025)
IAR
Texas(1/21/2025)
RR
Virginia(2/10/2025)
IAR
Virginia(2/10/2025)
RR
Washington(1/15/2025)
RR
West Virginia(1/15/2025)
IAR
West Virginia(1/27/2025)
RR
Wisconsin(1/15/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HAZLETT, BURT & WATSON, INC.
HAZLETT, BURT & WATSON, INC. | SECURITY CAPITAL MANAGEMENT
CRD#: 396 / SEC#: 801-66333, 8-17737
RIA
Registered Investment Advisory firm - SEC (3/29/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1300 Chapline Street, Wheeling, WV 26003
Mailing Address
1300 Chapline Street, Wheeling, WV 26003
Phone number
(304) 233-3312
Established
West Virginia since 09/06/1973
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
19
SEC notice filing (15 States and Territories)
FINRA licenses (38 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HB&W, INC. | PARENT COMPANY | |
| BARICKMAN, MICHAEL THOMPSON | EXEC VP / DIRECTOR | 1535665 |
| BIDWELL, TIMOTHY MORGAN | EXEC VP / CFO / CHIEF COMPLIANCE OFFICER / DIRECTOR | 4296834 |
| BURECH, HAROLD BRUCE | DIRECTOR /SR VP | 856313 |
| ECHOLS, MARILYNN SUE | EXECUTIVE VICE PRESIDENT / DIRECTOR | 818946 |
| MARSH, JASON LEE | CHAIRMAN / CEO / DIRECTOR | 4792963 |
| WEAVER, GEORGE SPERRY III | SR EXEC VP / DIRECTOR | 1061710 |
Regulatory assets under management
| Total Number of Accounts | 2,314 |
| AUM (Assets Under Management) | $ 1,197,878,280 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/14/2025 | ||
| 12/19/2023 | ||
| 11/30/2022 |
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.
Company Information
HAZLETT, BURT & WATSON, INC.
CRD#: 396Lancaster, PA 17603-1267TRUST BUT VERIFY
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