Aw Securities

Aw Securities (CRD# 103747) is a financial advisory firm headquartered in Folsom, CA. They serve the financial needs of clients across 1 states (or territories).

By the Numbers
  • Total Assets Under Management
    0
    MILLION
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Other
Advisory Services Offered
  • Other
Types of Clients
Registered States
The map below shows states where this firm has explicit registration only.

CA

Financial Advisors at Aw Securities
Showing 1 - 8 of 8 top financial advisors.
1
Kathleen M. Carpenter
CRD#: 2204356
340 Palladio Pkwy, Suite 501, Folsom, CA 95630

Kathleen Carpenter (CRD# 2204356) is an Investment Advisor Representative working at Aw Securities in Folsom, CA and has over 32 years of experience in the finance industry. Kathleen Carpenter has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

2
Kevin M. Duffy
CRD#: 2673236
340 Palladio Pkwy, Suite 501, Folsom, CA 95630

Kevin Duffy (CRD# 2673236) is an Investment Advisor Representative working at Aw Securities in Folsom, CA and has over 22 years of experience in the finance industry. Kevin Duffy has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

3
Patrick A. Henry
CRD#: 1781345
8775 Folsom Boulevard, Suite 100, Sacramento, CA 95826

Patrick Henry (CRD# 1781345) is an Investment Advisor Representative working at Aw Securities in Sacramento, CA and has over 24 years of experience in the finance industry. Patrick Henry has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

4
Benjamin D. Knight
CRD#: 5312758
340 Palladio Pkwy, Suite 501, Folsom, CA 95630

Benjamin Knight (CRD# 5312758) is an Investment Advisor Representative working at Aw Securities in Folsom, CA and has over 16 years of experience in the finance industry. Benjamin Knight has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

5
Hugh B. Phillips
CRD#: 1816426
340 Palladio Pkwy, Suite 501, Folsom, CA 95630

Hugh Phillips (CRD# 1816426) is an Investment Advisor Representative working at Aw Securities in Folsom, CA and has over 26 years of experience in the finance industry. Hugh Phillips has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

6
Daniel W. Rausch
CRD#: 5636455
340 Palladio Pkwy, Suite 501, Folsom, CA 95630

Daniel Rausch (CRD# 5636455) is an Investment Advisor Representative working at Aw Securities in Folsom, CA and has over 8 years of experience in the finance industry. Daniel Rausch has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

7
Cheyenne G. Walker
CRD#: 4260856
340 Palladio Pkwy, Suite 501, Folsom, CA 95630

Cheyenne Walker (CRD# 4260856) is an Investment Advisor Representative working at Aw Securities in Folsom, CA and has over 18 years of experience in the finance industry. Cheyenne Walker has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

8
Beau D. McGuire
CRD#: 6926854
340 Palladio Pkwy, Suite 501, Folsom, CA 95630

Beau McGuire (CRD# 6926854) is an Investment Advisor Representative working at Aw Securities in Folsom, CA and has 1 year of experience in the finance industry. Beau McGuire has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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