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CH

Clifton D. Hawkins

HILLTOP WEALTH & TAX SOLUTIONS
MISHAWAKA, IN 46545
Some features on this profile are disabled
CRD#: 6262895
CH

Professional summary

Clifton Douglas Hawkins is a registered financial advisor currently at HILLTOP WEALTH & TAX SOLUTIONS located in Mishawaka, Indiana.

Clifton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Clifton has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

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 Licensed Since 2005

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifton Douglas 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

August 25, 2020 - Present

HILLTOP WEALTH & TAX SOLUTIONS

Office #1: 4100 Edison Lakes Parkway Suite 225, Mishawaka, IN 46545
RIA
CRD#: 290981
MISHAWAKA, IN
Past

November 1, 2019 - May 12, 2020

OSAIC INSTITUTIONS, INC.

RIA
CRD#: 35371
La Porte, IN
Past

November 1, 2019 - May 12, 2020

OSAIC INSTITUTIONS, INC.

BD
CRD#: 35371
La Porte, IN
Past

February 28, 2018 - November 5, 2019

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
Cassopolis, MI
Past

October 9, 2017 - November 5, 2019

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Cassopolis, MI
Past

February 6, 2014 - October 11, 2017

NYLIFE SECURITIES LLC

BD
CRD#: 5167
PORTAGE, MI

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".
HW
HILLTOP WEALTH & TAX SOLUTIONS
DRURY WEALTH MANAGEMENT, LLC | HILTOP PARTNERS, LLC | HILLTOP WEALTH SOLUTIONS | HILLTOP WEALTH & TAX SOLUTIONS | HILLTOP TAX AND WEALTH | HILLTOP PARTNERS LLC

CRD#: 290981 / SEC#: 801-115255

RIA
Registered Investment Advisory firm - (5/10/2019 Approved)
Illinois
Registered Investment Advisory firm - (5/13/2019 Terminated)
Indiana
Registered Investment Advisory firm - (5/13/2019 Terminated)
Michigan
Registered Investment Advisory firm - (5/13/2019 Terminated)

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
Florida
(7/8/2025)
IAR
Indiana
(8/25/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/1/2018
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/5/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/8/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 7/8/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/13/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/6/2014
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/8/2022
General Securities Principal Examination

Current Firm

HW
HILLTOP WEALTH & TAX SOLUTIONS
DRURY WEALTH MANAGEMENT, LLC | HILTOP PARTNERS, LLC | HILLTOP WEALTH SOLUTIONS | HILLTOP WEALTH & TAX SOLUTIONS | HILLTOP TAX AND WEALTH | HILLTOP PARTNERS LLC

CRD#: 290981 / SEC#: 801-115255

RIA
Registered Investment Advisory firm - (5/10/2019 Approved)
Illinois
Registered Investment Advisory firm - (5/13/2019 Terminated)
Indiana
Registered Investment Advisory firm - (5/13/2019 Terminated)
Michigan
Registered Investment Advisory firm - (5/13/2019 Terminated)
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Contact information

Main Address
4100 Edison Lakes Parkway Suite 225, Mishawaka, IN 46545
Mailing Address
Phone number
(574) 889-7526
Established
Firm type
Fiscal year end
# of Employees
14

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

HILLTOP WEALTH SOLUTIONS ADV PART 2A (10/29/2025)

Regulatory assets under management

Total Number of Accounts2,546
AUM (Assets Under Management)$ 490,814,525

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

HILLTOP WEALTH & TAX SOLUTIONS

CRD#: 290981Mishawaka, IN 46545

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