Cory A. Hawes
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.
Cory A Hawes, who also goes by Corey Alan Hawes, Cory Hawes, was a registered financial professional .
Cory is a previously registered financial professional and started their career in finance in 2012. Cory had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2015 - December 31, 2017
STEEL GROVE CAPITAL ADVISORS, LLC
April 24, 2013 - January 14, 2015
NEW ENGLAND SECURITIES
June 12, 2012 - January 14, 2015
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
STEEL GROVE CAPITAL ADVISORS, LLC
CRD#: 115231 / SEC#: 801-60517
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
STEEL GROVE CAPITAL ADVISORS, LLC
CRD#: 115231 / SEC#: 801-60517
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 878 |
| AUM (Assets Under Management) | $ 1,360,070,395 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 05/03/2024 | ||
| 04/30/2023 |
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.
