Julie B. Hazzard

10ELMS LLP

Tulsa, OK

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CRD#: 5982636

Professional summary

Julie Brakey Hazzard, who also goes by Julie Anne Brakey, is a registered financial advisor currently at 10ELMS LLP located in Tulsa, Oklahoma.

Julie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Julie has worked at 5 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Julie Anne Brakey

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 Julie Brakey Hazzard'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

March 23, 2023 - Present

10ELMS LLP

RIA

CRD#: 323398

Tulsa, OK

Past

December 6, 2018 - May 29, 2020

CAPITAL ONE INVESTING, INC.

RIA

CRD#: 285084

Tulsa, OK

Past

February 9, 2017 - December 14, 2018

KHP CAPITAL LLC

RIA

CRD#: 281169

TULSA, OK

Past

August 28, 2013 - February 7, 2019

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

TULSA, OK

Past

November 13, 2012 - February 7, 2019

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

TULSA, OK

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".

10ELMS LLP

CRD#: 323398 / SEC#: 801-131155

RIA

Registered Investment Advisory firm - (9/20/2024 Approved)

Oklahoma

Registered Investment Advisory firm - (11/25/2024 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

Oklahoma
(3/23/2023)

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: 3/23/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/16/2013

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: 11/12/2012

General Securities Representative Examination

Current Firm

10ELMS LLP

CRD#: 323398 / SEC#: 801-131155

RIA

Registered Investment Advisory firm - (9/20/2024 Approved)

Oklahoma

Registered Investment Advisory firm - (11/25/2024 Terminated)

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Contact information

Main Address

Tulsa, OK

Mailing Address

Phone number

(918) 812-7998

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (10/30/2025)

ADV PART 2A/2B (10/30/2025)

Regulatory assets under management

Total Number of Accounts	179
AUM (Assets Under Management)	$ 120,895,727

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

Julie B. Hazzard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Julie Brakey Hazzard's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL ONE INVESTING, INC.

KHP CAPITAL LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

Primary Firm SEC Registration

10ELMS LLP

State Registrations and Notice Filings

Exams

Series 65

Date: 3/23/2023

Series 66

Date: 5/16/2013

SIE

Date: 10/1/2018

Series 7

Date: 11/12/2012

Current Firm

10ELMS LLP

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

10ELMS LLP

TRUST BUT VERIFY

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