Terrence P. Hawkins

TRAJAN WEALTH, L.L.C.

Naperville, IL 60563

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CRD#: 5980860

Professional summary

Terrence Patrick Hawkins is a registered financial advisor currently at TRAJAN WEALTH, L.L.C. located in Naperville, Illinois.

Terrence is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Terrence has worked at 6 firms and has passed the Series 65, Series 7TO, SIE and Series 6 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.

INSURANCE SALES; INVESTMENT-RELATED; INSURANCE AGENT; APPROXIMATELY 40 hrs. per/month HRS/DURING TRADING HOURS; SALES OF VARIOUS INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Terrence Patrick Hawkins'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

June 6, 2024 - Present

TRAJAN WEALTH, L.L.C.

Office #1: 1755 Park St. Suite 200, Naperville, IL 60563

RIA

CRD#: 158847

Naperville, IL

Past

August 8, 2023 - March 13, 2024

HALO INVESTMENT SERVICES, LLC

RIA

CRD#: 325613

CHICAGO, IL

Past

July 14, 2022 - August 9, 2023

ROTHSCHILD WEALTH LLC

RIA

CRD#: 162442

CHICAGO, IL

Past

July 14, 2022 - March 13, 2024

HALO SECURITIES, LLC

CRD#: 279029

Chicago, IL

Past

October 23, 2014 - July 18, 2022

MORNINGSTAR INVESTMENT SERVICES LLC

RIA

CRD#: 112525

CHICAGO, IL

Past

April 10, 2012 - July 18, 2022

MORNINGSTAR INVESTMENT SERVICES LLC

CRD#: 112525

CHICAGO, IL

Past

December 6, 2011 - February 2, 2012

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

DOWNERS GROVE, IL

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".

TRAJAN WEALTH, L.L.C.

TRAJAN WEALTH, L.L.C. | VALLEY FINANCIAL WEALTH MANAGEMENT, L.L.C.

CRD#: 158847 / SEC#: 801-100392

RIA

Registered Investment Advisory firm - (6/29/2015 Approved)

California

Registered Investment Advisory firm - (5/25/2016 Terminated)

Colorado

Registered Investment Advisory firm - (4/28/2016 Terminated)

Texas

Registered Investment Advisory firm - (11/14/2012 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

Illinois
(6/6/2024)

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: 10/18/2014

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/22/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/5/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TRAJAN WEALTH, L.L.C.

TRAJAN WEALTH, L.L.C. | VALLEY FINANCIAL WEALTH MANAGEMENT, L.L.C.

CRD#: 158847 / SEC#: 801-100392

RIA

Registered Investment Advisory firm - (6/29/2015 Approved)

California

Registered Investment Advisory firm - (5/25/2016 Terminated)

Colorado

Registered Investment Advisory firm - (4/28/2016 Terminated)

Texas

Registered Investment Advisory firm - (11/14/2012 Terminated)

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Contact information

Main Address

18700 North Hayden Road Suite 470, Scottsdale, AZ 85255

Mailing Address

Phone number

(480) 990-3300

Established

Firm type

Fiscal year end

# of Employees

125

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A (8/21/2025)

Regulatory assets under management

Total Number of Accounts	15,595
AUM (Assets Under Management)	$ 1,969,683,196

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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Advisor Monitoring

Firm Stability Insights

Terrence P. Hawkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Terrence Patrick Hawkins's CRS (Customer Relationship Summary).

Certified licenses

Experience

HALO INVESTMENT SERVICES, LLC

ROTHSCHILD WEALTH LLC

HALO SECURITIES, LLC

MORNINGSTAR INVESTMENT SERVICES LLC

MORNINGSTAR INVESTMENT SERVICES LLC

JOHN HANCOCK DISTRIBUTORS LLC

Primary Firm SEC Registration

TRAJAN WEALTH, L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/18/2014

Series 7TO

Date: 6/22/2023

SIE

Date: 10/1/2018

Series 6

Date: 12/5/2011

Current Firm

TRAJAN WEALTH, L.L.C.

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRAJAN WEALTH, L.L.C.

TRUST BUT VERIFY

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