Cade R. Hammarquist
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.
Cade Robert Hammarquist, who also goes by Cade R Hammarquist, Cade Hammarquist, was a registered financial professional .
Cade is a previously registered financial professional and started their career in finance in 2022. Cade had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2023 - July 9, 2026
M. S. HOWELLS & CO.
February 16, 2023 - June 12, 2026
ASHTON THOMAS PRIVATE WEALTH
October 14, 2022 - February 22, 2023
WELLS FARGO CLEARING SERVICES, LLC
September 22, 2022 - February 22, 2023
WELLS FARGO CLEARING SERVICES, LLC
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 7TO
Date: 9/22/2022
General Securities Representative ExaminationCurrent Firm
M. S. HOWELLS & CO.
CRD#: 104100 / SEC#: , 8-52558
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARK HOWELLS TRUST, DATED 6/25/1997, MARK HOWELLS TRUSTEE | OWNER | |
| SANTAMARIA, KATRINA PATRICIA | CHIEF EXECUTIVE OFFICER | 3248779 |
| CRITES, MARCY ANN | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP) | 6346298 |
| HOWELLS, MARK STEPHEN | EXECUTIVE CHAIRMAN/DIRECTOR | 726921 |
| HOWELLS, MARK STEPHEN | TRUSTEE FOR MARK HOWELLS TRUST DATED 6/25/1997 | 726921 |
| JORDAN, CHRISTOPHER SHANE | CHIEF COMPLIANCE OFFICER | 2843281 |
| KREIZENBECK, TARA LYNN | CHIEF OPERATING OFFICER | 7141895 |
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.
