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Cary Matthew Hess

Cary M. Hess

FOCUS SECURITIES LLC | Private Wealth Manager
Gainesville, VA 20155
Some features on this profile are disabled
CRD#: 6440182
Cary Matthew Hess

Professional summary

Cary Matthew Hess, who also goes by Cary Hess, is a registered financial professional currently at FOCUS SECURITIES LLC located in Gainesville, Virginia.

Cary is registered as a RR (Registered Representative) and started their career in finance in 2015. Cary has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cary Hess

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.
I*133987 For profit or not for profit: Non-Profit Organization Name of outside business organization: Alzheimer's Association Investment related: N Address of business: Houston, Texas 77087 Nature of business: Charitable Organization, Position, title, association: , Start date of relationship: 10/14/2020 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Serving on the Houston Young Professionals Against Alzheimer's board and the committee for the 'Walk to End Alzheimer's.'

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cary Matthew Hess'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®
None

Experience

Current

November 26, 2024 - Present

FOCUS SECURITIES LLC

Office #1: 7371 Atlas Walk Way #259, Gainesville, VA 20155
BD
CRD#: 150589
Gainesville, VA
Past

February 4, 2016 - October 15, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
HOUSTON, TX
Past

November 16, 2015 - October 15, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
South Carolina
(11/6/2025)
RR
Texas
(11/26/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/2/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/16/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FOCUS SECURITIES LLC
FOCUS SECURITIES LLC

CRD#: 150589 / SEC#: , 8-68273

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
7371 Atlas Walk Way #259, Gainesville, VA 20155
Mailing Address
7371 Atlas Walk Way #259, Gainesville, VA 20155
Phone number
(404) 557-1045
Established
Georgia since 03/23/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FOCUS HOLDINGS USA, INC.OWNER
BEARD, ROBERT GLENNPRESIDENT, CEO, CHIEF COMPLIANCE OFFICER5771682
THOMPSON, RICHARD FRANK JR.FINOP, ER

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

FOCUS SECURITIES LLC

Private Wealth ManagerCRD#: 150589Gainesville, VA 20155

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Contact information

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