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Marshall Anthony Hawkins, Sr. Sr.

CRD# 869148·Registered 1979 - 2010
Previously Registered: Being a previously registered professional could mean that Marshall 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.

Professional Summary

Marshall Anthony Hawkins, Sr. SR., who also goes by Marshall Anthony Hawkins Sr., Marshall Anthony Hawkins, was a registered financial advisor. Marshall was a previously registered financial advisor and started their career in finance 1979 - 2010. Marshall had worked at 3 firms and has passed the Series 65, Series 6, Series 7 and Series 53 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Marshall Anthony Hawkins Sr., Marshall Anthony Hawkins

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

47 years in the financial services industry

Current & Past Employments

GOVERNMENTAL FINANCE OF OKLAHOMA, INC.·CRD# 126457
RIA
Norman, OK
February 2, 2010 - February 8, 2010
GOVERNMENTAL FINANCE OF OKLAHOMA, INC.·CRD# 126457
RIA
Norman, OK
June 18, 2003 - December 31, 2005
WOOLSEY & COMPANY, INCORPORATED·CRD# 7012
BD
July 20, 1983 - June 6, 1986
R. J. EDWARDS, INC.·CRD# 1725
BD
July 27, 1979 - January 23, 1985

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Current Firm

No current employment

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Apr 1993About the Series 65 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jan 1993About the Series 6 exam

Series 7 — General Securities Representative Examination

Passed Jul 1979About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Aug 1984About the Series 53 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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MH
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