Hillary A. Hienton

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CRD#: 6447112

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.

Hillary Ann Marie Hienton, who also goes by Hillary Ann Marie Gardner, was a registered financial professional .

Hillary is a previously registered financial professional and started their career in finance in 2015. Hillary had worked at 2 firms and has passed the Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Hillary Ann Marie Gardner

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

June 8, 2017 - July 22, 2019

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

RIA

CRD#: 122575

Colorado Springs, CO

Past

July 6, 2015 - November 30, 2016

CETERA ADVISORS LLC

CRD#: 10299

COLORADO SPRINGS, CO

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".

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC | DUNN WARREN INVESTMENT ADVISORS, LLC | DUNN CAPITAL MANAGEMENT, LLC | DUNN CAPITAL MANAGEMENT

CRD#: 122575 / SEC#: 801-67699

RIA

Registered Investment Advisory firm - (4/17/2007 Approved)

Colorado

Registered Investment Advisory firm - (5/2/2007 Terminated)

Florida

Registered Investment Advisory firm - (4/24/2007 Terminated)

Texas

Registered Investment Advisory firm - (4/20/2007 Terminated)

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).

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.

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: 6/8/2017

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 11/30/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/6/2015

General Securities Representative Examination

Current Firm

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC | DUNN WARREN INVESTMENT ADVISORS, LLC | DUNN CAPITAL MANAGEMENT, LLC | DUNN CAPITAL MANAGEMENT

CRD#: 122575 / SEC#: 801-67699

RIA

Registered Investment Advisory firm - (4/17/2007 Approved)

Colorado

Registered Investment Advisory firm - (5/2/2007 Terminated)

Florida

Registered Investment Advisory firm - (4/24/2007 Terminated)

Texas

Registered Investment Advisory firm - (4/20/2007 Terminated)

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Contact information

Main Address

115 West Salori Court, Webster, NY 14580

Mailing Address

Phone number

(719) 477-9883

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2A APPENDIX 1 AND 2B (3/3/2025)

Regulatory assets under management

Total Number of Accounts	881
AUM (Assets Under Management)	$ 136,583,840

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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Firm Stability Insights

Hillary A. Hienton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

CETERA ADVISORS LLC

Primary Firm SEC Registration

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/8/2017

SIE

Date: 11/30/2016

Series 7

Date: 7/6/2015

Current Firm

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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