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Detailed Report
DWAYNE W HAWKINS
DWAYNE WILLIAM HAWKINS
CRD#: 4076270
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 9021 W UNIVERSITY DR
MCKINNEY, TX 75071
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2003 - 2012 (8 years)2 FIRMS2012 - 2022 (9 years)2 FIRMS2022 - Present (3 years)BH&R BLOCK FINANCIAL ADVISORS, INC. (CRD# 5979)2002 - 2003 (1 year)BCOMPASS BROKERAGE, INC. (CRD# 17086)2002 - 2002 (<1 year)BBANC ONE SECURITIES CORPORATION (CRD# 16999)2001 - 2002 (<1 year)IAH&R BLOCK FINANCIAL ADVISORS, INC. (CRD# 5979)2003 - 2003 (<1 year)
Disclosure(s)
View By:
6/19/2012
Customer Dispute
Denied
License(s)

State Registrations

B
California 1/31/2022
B
Oklahoma 2/1/2022
B
Florida 1/31/2022
B
Texas 1/31/2022
B
Idaho 10/23/2024
IA
Texas 1/31/2022
B
Louisiana 1/31/2022
B
Washington 11/24/2023
B
Missouri 10/23/2024
B
Wyoming 2/23/2024

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
9021 W UNIVERSITY DR, MCKINNEY, TX 75071
Registered with this firm since 1/31/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
9021 W UNIVERSITY DR, MCKINNEY, TX 75071
Registered with this firm since 1/31/2022
Previous Registration(s)
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IA
 10/01/2012 - 02/01/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) DALLAS, TX
B
 10/01/2012 - 02/01/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) DALLAS, TX
IA
 12/05/2003 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) DALLAS, TX
B
 12/05/2003 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) DALLAS, TX
IA
 10/31/2003 - 12/05/2003 H&R BLOCK FINANCIAL ADVISORS, INC. (CRD#:5979) HOUSTON, TX
B
 11/06/2002 - 12/05/2003 H&R BLOCK FINANCIAL ADVISORS, INC. (CRD#:5979) DETROIT, MI
B
 01/31/2002 - 10/11/2002 COMPASS BROKERAGE, INC. (CRD#:17086) BIRMINGHAM, AL
B
 03/22/2001 - 01/31/2002 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.