William R. Hawke
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.
William Robert Hawke, CFP®, who also goes by William Robert Haake, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1979. William had worked at 8 firms and has passed the Series 63, Series 6TO, Series 22TO, SIE, Series 31, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1984
Experience
January 11, 2024 - June 17, 2024
CADARET, GRANT & CO., INC.
April 7, 2021 - December 31, 2023
CADARET, GRANT & CO., INC.
April 7, 2021 - December 31, 2023
CADARET, GRANT & CO., INC.
March 1, 2018 - July 1, 2024
CEDAR BROOK GROUP
November 10, 2006 - April 13, 2021
SECURITIES AMERICA ADVISORS, INC.
November 10, 2006 - April 13, 2021
SECURITIES AMERICA, INC.
January 1, 2000 - November 15, 2006
OSAIC FA, INC.
February 4, 1983 - July 29, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 4, 1982 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
December 17, 1979 - May 8, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 17, 1979 - November 15, 2006
OSAIC FA, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 1
Date: 12/9/1979
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
