BH
Brendan J. Hawks
TRUIST ADVISORY SERVICES
CHATTANOOGA, TN 37402
Some features on this profile are disabled
CRD#: 7067120
BH
Professional summary
Brendan Joseph Hawks, CFP® is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Chattanooga, Tennessee and TRUIST INVESTMENT SERVICES, INC. located in Chattanooga, Tennessee.
Brendan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Brendan has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Brendan Joseph Hawks'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®
CFP®
Start date: 2021
Experience
Current
August 9, 2019 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 736 Market St Fl 2, Chattanooga, TN 37402RIA
CRD#: 283390
CHATTANOOGA, TN
Current
February 27, 2019 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 101 Browns Ferry Rd, Chattanooga, TN 37419Office #2: 736 Market St Bldg 1, Chattanooga, TN 37402Office #3: 3513 Dayton Blvd, Chattanooga, TN 37415Office #4: 802 Scenic Hwy, Lookout Mountain, TN 37350Office #5: 2201 E 3rd St, Chattanooga, TN 37404Office #6: 9627 Dayton Pike, Soddy Daisy, TN 37379BD
CRD#: 17499
Chattanooga, TN
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".
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
RIA
Registered Investment Advisory firm - (5/18/2016 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.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
Alabama(2/8/2022)
RR
California(2/8/2022)
RR
Colorado(2/8/2022)
RR
Connecticut(2/8/2022)
RR
Florida(2/8/2022)
RR
Georgia(1/25/2022)
RR
Idaho(2/8/2022)
RR
Illinois(2/8/2022)
RR
Indiana(6/13/2025)
RR
Kansas(2/8/2022)
RR
Kentucky(2/8/2022)
RR
Maryland(2/8/2022)
RR
Massachusetts(7/8/2022)
RR
Mississippi(2/8/2022)
RR
Missouri(2/8/2022)
RR
Nebraska(2/8/2022)
RR
New York(2/8/2022)
RR
North Carolina(2/8/2022)
RR
Ohio(2/8/2022)
RR
Oregon(2/8/2022)
RR
Puerto Rico(2/8/2022)
RR
South Carolina(2/8/2022)
RR
Tennessee(4/9/2019)
IAR
Tennessee(8/9/2019)
RR
Texas(2/8/2022)
IAR
Texas(2/5/2026)
RR
Virginia(2/8/2022)
RR
Washington(2/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/21/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 2/27/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
RIA
Registered Investment Advisory firm - (5/18/2016 Approved)PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
303 Peachtree Street 2nd Floor, Atlanta, GA 30303
Mailing Address
Po Box 4418 Mc 107, Atlanta, GA 30302
Phone number
(800) 874-4770
Established
Firm type
Fiscal year end
# of Employees
2,469
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390Chattanooga, TN 37402TRUST BUT VERIFY
Monitor Brendan Hawks
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
