Michael Hawkes, financial advisor Auburn CA
83 score

Michael Hawkes

CRD Number: 2993230
Current Firm: Unionbanc Investment Services, LLC

Michael Hawkes (CRD# 2993230) is an Investment Advisor Representative working at Unionbanc Investment Services, LLC in Auburn, CA and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Unionbanc Investment Services Sacramento, CA Jan 2016 - Current < 1
Bancwest Investment Services Sacramento, CA Aug 2010 - Jan 2016 5
Bank Of The West Sacramento, CA Aug 2010 - Jan 2016 5
Wells Fargo Investments, LLC Lodi/sacramento/stockton/elk Grove, CA Aug 2004 - May 2010 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1998
S65 NASAA Investment Advisors Law Examination Feb 1998
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Michael K. Hawkes
Phone Number: 800-634-1100
Registered State(s):
  • CA
  • HI
By the Numbers
  • Total Assets Under Management
    773
    MILLIONS
  • Total Number of Accounts
    3,196
    ACCOUNTS
  • Average Account Value
    $241,970
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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