William M. Hawkins
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 Melvin Hawkins, who also goes by Mel Hawkins, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1977. William had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 15, Series 5, Series 3, PC, Series 7, Series 53, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2003 - September 1, 2005
FFEC WEALTH PARTNERS LLC
August 14, 1995 - October 30, 2002
WELLS FARGO CLEARING SERVICES, LLC
August 9, 1995 - October 30, 2002
WELLS FARGO CLEARING SERVICES, LLC
January 28, 1995 - August 22, 1995
UBS FINANCIAL SERVICES INC.
August 18, 1993 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
September 27, 1984 - August 18, 1993
PRUDENTIAL EQUITY GROUP, LLC
November 15, 1983 - September 18, 1984
E. F. HUTTON & COMPANY INC
March 31, 1981 - November 1, 1983
CITIGROUP GLOBAL MARKETS INC.
January 21, 1979 - November 1, 1983
CITIGROUP GLOBAL MARKETS INC.
September 26, 1978 - February 25, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 15
Date: 1/12/1993
Foreign Currency Options ExaminationSeries 5
Date: 9/15/1992
Interest Rate Options ExaminationPC
Date: 3/1/1981
AMEX Put and Call ExamSeries 12
Date: 10/8/1981
NYSE Branch Manager ExaminationCurrent Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
