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Brian Hathhorn

CRD# 6693034·Registered 2022 - 2024
Previously Registered: Being a previously registered professional could mean that Brian 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.

Professional Summary

Brian Hathhorn, who also goes by Brian D Hathhorn, Brian Douglas Hathhorn, was a registered financial advisor. Brian was a previously registered financial professional and started their career in finance 2022 - 2024. Brian had worked at 1 firm.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Brian D Hathhorn, Brian Douglas Hathhorn

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

2 years in the financial services industry

Current & Past Employments

AVANTAX ADVISORY SERVICES·CRD# 104556
RIA
Independence, MO
July 22, 2022 - October 24, 2024

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Current Firm

AA
AVANTAX ADVISORY SERVICES

1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES

CRD#: 104556 / SEC#: 801-29892

Contact Information

Main Address

3200 Olympus Blvd Suite 100, Dallas, TX 75019

Phone Number

(972) 870-6000

# of Employees

2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)

Regulatory Assets Under Management

Total Number of Accounts

140,306

AUM (Assets Under Management)

$46,109,939,749

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024Cover PageReport
11/28/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

1) COMPACT CAFE, INC; President; Sell private-label coffee pods via the internet. not inv related; 2hrs; 2hrs during trading; started 03/14/2003; 606 West 115th Street, KANSAS CITY MO 64114; Manage the company's operations, Oversee the company's budget, Print shipping labels, Update website and send email updates to customers, Order inventory and supplies. 2) THREE TRAILS TAX AND ACCOUNTING LLC; Member NATURE: Holding the business name with the state; Not inv related; 0hrs; 0hrs during trading; Started 09/01/2008; 606 W 115TH ST, KANSAS CITY MO 64114; no duties/responsibilities- this entity has not had any activity it is- it was set up to hold the name. 3) COMMENCO WIRELESS LLC; POSITION: Member NATURE: Holding company for radio communications licenses; it is inactive INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/10/1999; ADDRESS: 606 W 115TH ST, KANSAS CITY MO 64114; DESCRIPTION: No duties as it is inactive. 4) GRANDVIEW TAX AND ACCOUNTING LLC; POSITION: Member NATURE: Holding the business name with the state. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/26/2008; ADDRESS: 606 W 115TH ST, KANSAS CITY MO 64114; DESCRIPTION: no duties/responsibilities- this entity has not had any activity it is- it was set up to hold the name. 5) ACCOUNTING AIR LLC; POSITION: Member NATURE: Holding the business name with the state. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/16/2014; ADDRESS: 606 W 115TH ST, KANSAS CITY MO 64114; DESCRIPTION: no duties/responsibilities- this entity has not had any activity it is- it was set up to hold the name. 6) AICPA; POSITION: Independent Contractor NATURE: The AICPA provides educational guidance materials, develops and grades the Uniform CPA Examination, and monitors and enforces compliance within the profession. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 12/01/2004; ADDRESS: 606 W 115TH ST, KANSAS CITY MO 64114, DESCRIPTION: Review subject matter related to potential Items for the CPA exam. Write Items for the CPA exam. Participate in education events related to CPA exam subject matter. Occasionally, review Items written for the CPA exam that were written by others on the team. Participate in training events regarding the evolution of the CPA exam and writing styles. This is the extent of my duties. 7) HATHHORN CPA LC; POSITION: Member NATURE: CPA firm that performs payroll and income tax preparation, tax planning, bookkeeping, and business advisory. INVESTMENT RELATED: No NUMBER OF HOURS: 174 SECURITIES TRADING HOURS: 130 START DATE: 07/11/2007; ADDRESS: 17111 E US 40 Highway, Suite A, Independence MO 64055; DESCRIPTION: Managing the company's operations; Overseeing the company's budget, Working with employees, Reviewing tax and accounting work, Staying knowledgeable about industry changes and developments, Determining how to improve performance, grow the company and save money. 8) HATHHORN CPA - EJC, LLC; POSITION: Member NATURE: This entity is a disregarded (for IRS purposes) wholly-owned entity of Hathhorn CPA LC. Entity only used to perform banking. This entity holds checking and savings accounts for Hathhorn CPA LC. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/21/2019 ADDRESS: 606 W 115TH ST, KANSAS CITY MO 64114; DESCRIPTION: Primary, manage the organization's activities of the banking activities such as making deposits and withdrawals in the name of this entity as it's relationship to the parent of which this entity is a disregarded (for IRS purposes) wholly-owned entity of Hathhorn CPA LC.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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