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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Kendall Hawes is a financial advisor with Cambridge Investment Research Advisors, Inc. Richard has been in the financial industry since 1995 and has a broad range of experience. Richard is registered with the state of Florida and Michigan. He is a Series 7, Series 9, Series 10, Series 24, Series 63, and Series 66 licensed professional. Richard is a dedicated professional who is committed to helping clients achieve their financial goals. Richard is also involved in several community organizations including the Southeast Volusia League for Economic Advancement Inc and the Utilities Commission of New Smyrna Beach FL. Richard previously worked at Sigma Financial Corporation and Fifth Third Securities, Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Solicitation fees from 3rd party money managers
1
2
FL
06/04/2015 - Present
Cambridge Investment Research Advisors, Inc. (NEW SMYRNA BEACH FL)
FL
01/27/2014 - 06/02/2015
SIGMA FINANCIAL CORPORATION (New Smyrna Beach FL)
MI
02/08/2013 - 03/11/2013
SIGMA FINANCIAL CORPORATION (MILFORD MI)
MI
07/22/2008 - 07/19/2012
FIFTH THIRD SECURITIES, INC. (SOUTHFIELD MI)
MI
12/09/2005 - 06/20/2008
COMERICA SECURITIES (ANN ARBOR MI)
NY
12/03/1999 - 01/06/2006
CITIGROUP GLOBAL MARKETS INC. (SYRACUSE NY)
IL
02/01/1999 - 07/29/1999
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
MI
11/09/1998 - 04/23/1999
RONEY & CO. (DETROIT MI)
IL
01/01/1996 - 02/01/1999
FIRST CHICAGO NBD INVESTMENT SERVICES, INC. (CHICAGO IL)
CA
02/07/1994 - 05/31/1995
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
MI
04/02/1993 - 01/25/1994
INDEPENDENCE ONE BROKERAGE SERVICES, INC. (FARMINGTON HILLS MI)
BOTH
Issued 02/27/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/02/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/10/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/09/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/02/1993
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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