Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2013 (5 years)2 FIRMS2013 - 2013 (<1 year)2 FIRMS2013 - 2014 (<1 year)2 FIRMS2014 - 2016 (2 years)2 FIRMS2016 - 2016 (<1 year)2 FIRMS2018 - 2020 (2 years)IAHAWK CAPITAL WEALTH MANAGEMENT LLC (CRD# 309556)2020 - Present (4 years)BSCOTTRADE, INC. (CRD# 8206)2016 - 2018 (1 year)IASCOTTRADE INVESTMENT MANAGEMENT (CRD# 169988)2017 - 2018 (1 year)
Disclosure(s)
View By:
11/10/2008
Customer Dispute
Denied
License(s)

State Registrations

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California 7/16/2020
Current Registration(s)
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HAWK CAPITAL WEALTH MANAGEMENT LLC (CRD#:309556)
WALNUT CREEK, CA
Registered with this firm since 7/16/2020
Previous Registration(s)
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 04/03/2018 - 07/17/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
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 04/02/2018 - 07/17/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
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 01/25/2017 - 03/08/2018 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) SAINT LOUIS, MO
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 11/18/2016 - 03/08/2018 SCOTTRADE, INC. (CRD#:8206) FAIRFIELD, CA
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 07/13/2016 - 11/01/2016 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) SAN FRANCISCO, CA
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 07/12/2016 - 11/01/2016 PRUCO SECURITIES, LLC. (CRD#:5685) SAN FRANCISCO, CA
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 02/14/2014 - 07/14/2016 SIGNATOR INVESTORS, INC. (CRD#:468) WALNUT CREEK, CA
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 02/14/2014 - 07/14/2016 SIGNATOR INVESTORS, INC. (CRD#:468) WALNUT CREEK, CA
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 09/03/2013 - 03/03/2014 LPL FINANCIAL LLC (CRD#:6413) WALNUT CREEK, CA
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 09/03/2013 - 03/03/2014 LPL FINANCIAL LLC (CRD#:6413) WALNUT CREEK, CA
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 04/16/2013 - 09/23/2013 PARK AVENUE SECURITIES LLC (CRD#:46173) SAN FRANCISCO, CA
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 04/02/2013 - 09/23/2013 PARK AVENUE SECURITIES LLC (CRD#:46173) SAN FRANCISCO, CA
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 02/14/2008 - 03/20/2013 AXA ADVISORS, LLC (CRD#:6627) SAN FRANCISCO, CA
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 01/30/2008 - 03/20/2013 AXA ADVISORS, LLC (CRD#:6627) SAN FRANCISCO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.