Kathryn B. Hauer

WILSON DAVID INVESTMENT ADVISORS

AIKEN, SC

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CRD#: 6380680

Professional summary

Kathryn Bruzas Hauer, CFP® is a registered financial advisor currently at WILSON DAVID INVESTMENT ADVISORS located in Aiken, South Carolina.

Kathryn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Kathryn has worked at 2 firms and has passed the Series 65 exam.

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.

Since March 2021, Editor providing editing services for the financial publication Benzinga. Non-investment-related. 877-440-9464, One Campus Martius, Suite 200, Detroit, MI 48226. Approximately 40 hours per week during non-trading hours. Since January 2012, Adjunct Professor of Business Communications teaching business communications to college students on a part-time basis for Aiken Technical College, 2276 Jefferson Davis Hwy, Graniteville, SC 29829, (803) 593-9231. Non-investment-related. Approximately 5 hours per week during non-trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Bruzas Hauer's 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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

November 5, 2014 - Present

WILSON DAVID INVESTMENT ADVISORS

RIA

CRD#: 172841

AIKEN, SC

Past

November 28, 2023 - February 14, 2024

ELLEVEST

RIA

CRD#: 175476

AIKEN, SC

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

South Carolina
(11/5/2014)

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: 7/17/2014

Uniform Investment Adviser Law Examination

Current Firm

WILSON DAVID INVESTMENT ADVISORS

WILSON DAVID ADVISORS | WILSON DAVID INVESTMENT ADVISORS | WILSON DAVID CORPORATION

CRD#: 172841 / SEC#:

Georgia

Registered Investment Advisory firm - (12/12/2016 Terminated)

South Carolina

Registered Investment Advisory firm - (11/5/2014 Approved)

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).

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Contact information

Main Address

227 Gateway Drive Ste. 159, Aiken, SC 29803

Mailing Address

312 Northwood Drive, Aiken, SC 29803

Phone number

(803) 507-6300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	18
AUM (Assets Under Management)	$ 6,380,000

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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Kathryn B. Hauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Bruzas Hauer's CRS (Customer Relationship Summary).

Certified licenses

Experience

WILSON DAVID INVESTMENT ADVISORS

ELLEVEST

State Registrations and Notice Filings

Exams

Series 65

Date: 7/17/2014

Current Firm

WILSON DAVID INVESTMENT ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WILSON DAVID INVESTMENT ADVISORS

TRUST BUT VERIFY

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