Richard Hawes, financial advisor New Smyrna Beach FL
93 score

Richard Hawes

CRD Number: 1009950
Current Firm: Cambridge Investment Research Advisors, Inc.

Richard Hawes (CRD# 1009950) is an Investment Advisor Representative working at Cambridge Investment Research Advisors, Inc. in New Smyrna Beach, FL and has over 24 years of experience in the finance industry.

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Company Name Location Dates Years
Cambridge Investment Research Advisors, Inc. Fairfield, IA Jun 2015 - Current 2
Cambridge Investment Research, Inc. Fairfield, IA Jun 2015 - Current 2
Sigma Financial Corporation Ann Arbor, MI Jan 2014 - Jun 2015 1
Spc Ann Arbor, MI Jan 2014 - Jun 2015 1
Greystone Financial Group, Inc. Troy, MI Mar 2013 - Mar 2014 1
Sigma Financial Corporation Ann Arbor, MI Feb 2013 - Mar 2013 < 1
Unemployed Milford, MI Aug 2012 - Feb 2013 < 1
Fifth Third Securities Detroit, MI Jun 2008 - Jul 2012 4
Comerica Securities Detroit, MI Nov 2005 - Jun 2008 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1993
S66 NASAA Uniform Combined State Law Examination Feb 2013
Contact Info for Richard K. Hawes
Phone Number: 641-472-5100
Firm Website: http://www.cir2.com
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    25,187
    MILLIONS
  • Total Number of Accounts
    152,412
    ACCOUNTS
  • Average Account Value
    $165,257
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Market timing services
  • Educational seminars/workshops
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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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