Raymond E. Hindy
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.
Raymond E Hindy was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1976. Raymond had worked at 6 firms and has passed the Series 65, Series 63, SIE, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2006 - December 31, 2020
HAZLETT, BURT & WATSON, INC.
March 31, 2003 - December 31, 2020
HAZLETT, BURT & WATSON, INC.
January 26, 1998 - April 1, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 13, 1996 - April 1, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 1987 - November 14, 1996
LEGG MASON WOOD WALKER, INCORPORATED
June 23, 1986 - November 4, 1987
LEGG MASON MASTEN INC.
January 5, 1977 - July 8, 1986
PARKER/HUNTER INCORPORATED
January 28, 1976 - January 5, 1977
PARKER/HUNTER INCORPORATED
Primary Firm SEC Registration
HAZLETT, BURT & WATSON, INC.
CRD#: 396 / SEC#: 801-66333, 8-17737
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
PC
Date: 3/1/1977
AMEX Put and Call ExamCurrent Firm
HAZLETT, BURT & WATSON, INC.
CRD#: 396 / SEC#: 801-66333, 8-17737
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (38 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HB&W, INC. | PARENT COMPANY | |
| BARICKMAN, MICHAEL THOMPSON | EXEC VP / DIRECTOR | 1535665 |
| BIDWELL, TIMOTHY MORGAN | EXEC VP / CFO / CHIEF COMPLIANCE OFFICER / DIRECTOR | 4296834 |
| BURECH, HAROLD BRUCE | DIRECTOR /SR VP | 856313 |
| ECHOLS, MARILYNN SUE | EXECUTIVE VICE PRESIDENT / DIRECTOR | 818946 |
| MARSH, JASON LEE | CHAIRMAN / CEO / DIRECTOR | 4792963 |
| WEAVER, GEORGE SPERRY III | SR EXEC VP / DIRECTOR | 1061710 |
Regulatory assets under management
| Total Number of Accounts | 2,314 |
| AUM (Assets Under Management) | $ 1,197,878,280 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/14/2025 | ||
| 12/19/2023 | ||
| 11/30/2022 |
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.
