MH
Monty L. Hasenbank
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CRD#: 6243873
MH
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.
Monty Lane Hasenbank was a registered financial professional .
Monty is a previously registered financial professional and started their career in finance in 2013. Monty had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
1)09/2019 - NON-VARIABLE INSURANCE - DaVinci Risk Designs, LLC - 10% - INVESTMENT RELATED - NEWPORT NEWS, VA 23606 2)09/2019 - DBA for LPL Business (entity for LPL business) - DaVinci Investment Services - 100% - INVESTMENT RELATED - NEWPORT NEWS, VA 23606. 3) 10/2/2019 - DaVinci Financial Designs, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - 160 Hours Per Month - I provide investment advisory services through DaVinci Financial Designs, LLC, an independent investment advisor firm. I started this business activity in September 2019. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
October 2, 2019 - March 17, 2022
DAVINCI FINANCIAL DESIGNS
RIA
CRD#: 163362
NEWPORT NEWS, VA
Past
September 3, 2019 - June 3, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
HAMPTON, VA
Past
December 15, 2015 - September 12, 2019
FIRST COMMAND ADVISORY SERVICES
RIA
CRD#: 281958
FORT WORTH, TX
Past
October 16, 2013 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
NEWPORT NEWS, VA
Past
September 20, 2013 - September 12, 2019
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
NEWPORT NEWS, VA
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".
DF
DAVINCI FINANCIAL DESIGNS
DAVINCI FINANCIAL DESIGN LLC | GATEWAY FINANCIAL DESIGNS | DAVINCI FINANCIAL DESIGNS LLC | DAVINCI FINANCIAL DESIGNS
CRD#: 163362 / SEC#: 801-80733
RIA
Registered Investment Advisory firm - (2/25/2015 Approved)Florida
Registered Investment Advisory firm - (3/27/2015 Terminated)Georgia
Registered Investment Advisory firm - (3/31/2015 Terminated)Louisiana
Registered Investment Advisory firm - (3/30/2015 Terminated)Maryland
Registered Investment Advisory firm - (4/2/2015 Terminated)New Jersey
Registered Investment Advisory firm - (3/27/2015 Terminated)New York
Registered Investment Advisory firm - (3/27/2015 Terminated)North Carolina
Registered Investment Advisory firm - (3/27/2015 Terminated)South Carolina
Registered Investment Advisory firm - (3/27/2015 Terminated)Texas
Registered Investment Advisory firm - (3/27/2015 Terminated)Virginia
Registered Investment Advisory firm - (3/27/2015 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/19/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
DF
DAVINCI FINANCIAL DESIGNS
DAVINCI FINANCIAL DESIGN LLC | GATEWAY FINANCIAL DESIGNS | DAVINCI FINANCIAL DESIGNS LLC | DAVINCI FINANCIAL DESIGNS
CRD#: 163362 / SEC#: 801-80733
RIA
Registered Investment Advisory firm - (2/25/2015 Approved)Florida
Registered Investment Advisory firm - (3/27/2015 Terminated)Georgia
Registered Investment Advisory firm - (3/31/2015 Terminated)Louisiana
Registered Investment Advisory firm - (3/30/2015 Terminated)Maryland
Registered Investment Advisory firm - (4/2/2015 Terminated)New Jersey
Registered Investment Advisory firm - (3/27/2015 Terminated)New York
Registered Investment Advisory firm - (3/27/2015 Terminated)North Carolina
Registered Investment Advisory firm - (3/27/2015 Terminated)South Carolina
Registered Investment Advisory firm - (3/27/2015 Terminated)Texas
Registered Investment Advisory firm - (3/27/2015 Terminated)Virginia
Registered Investment Advisory firm - (3/27/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5301 N. Trenholm Road Suite A, Columbia, SC 29206
Mailing Address
Phone number
(803) 741-0134
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,188 |
| AUM (Assets Under Management) | $ 198,331,653 |
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.
