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Stephanie H. Andersen

MAIN STREET RESEARCH LLC
LAKEVILLE, CT 06039
Some features on this profile are disabled
CRD#: 6639235
SA

Professional summary

Stephanie Hawk Andersen, who also goes by Stephanie Ann Hawk, Hawk Ann Stephanie, is a registered financial advisor currently at MAIN STREET RESEARCH LLC located in Lakeville, Connecticut.

Stephanie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Stephanie has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Stephanie Ann Hawk | Hawk Ann Stephanie

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) - RIA

Click below to view Stephanie Hawk Andersen'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

June 27, 2016 - Present

MAIN STREET RESEARCH LLC

Office #1: 342 Main Street, Lakeville, CT 06039
RIA
CRD#: 114629
LAKEVILLE, CT

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".
MS
MAIN STREET RESEARCH LLC
MAIN STREET RESEARCH LLC

CRD#: 114629 / SEC#: 801-57739

RIA
Registered Investment Advisory firm - (11/14/2000 Approved)

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
California
(6/27/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/27/2016
Uniform Investment Adviser Law Examination

Current Firm

MS
MAIN STREET RESEARCH LLC
MAIN STREET RESEARCH LLC

CRD#: 114629 / SEC#: 801-57739

RIA
Registered Investment Advisory firm - (11/14/2000 Approved)
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Contact information

Main Address
342 Main Street, Lakeville, CT 06039
Mailing Address
30 Liberty Ship Way Third Floor, Sausalito, CA 94965
Phone number
(860) 435-2350
Established
Firm type
Fiscal year end
# of Employees
24

SEC notice filing (42 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

FIRM PART 2A BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts2,782
AUM (Assets Under Management)$ 2,384,657,948

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

MAIN STREET RESEARCH LLC

CRD#: 114629Lakeville, CT 06039

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