Richard Hawes
Richard Hawes is a registered investment advisor at Cambridge Investment Research Advisors, INC., based in New Smyrna Beach, FL, with 31 years of industry experience. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 4 more. Their firm serves 323,031 clients with $100B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Cambridge Investment Research Advisors (CIRA) offers investment management services through several platforms. Fees are based on a percentage of your portfolio's value and are negotiable. The maximum annual fee is 2.25%. Fees can be structured as flat, tiered, or breakpoint. You may also encounter setup fees and service fees. Fees are typically deducted directly from your account. CIRA also offers WealthPort, a wrap fee program with inclusive fees. The WealthPort maximum advisory fee is 2.25% annually.
Location
New Smyrna Beach, FL
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Richard owns a timeshare, is an independent insurance agent, and is involved with the Southeast Volusia League for Economic Advancement Inc. He also serves as a board member for the Utilities Commission of New Smyrna Beach FL, owns Oceanside Private Wealth Management, and works as an advisory rep of a RIA.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Previous Registrations
Spc
Sigma Financial CorporationBroker
Greystone Financial Group, INC.
Sigma Financial CorporationBroker
Fifth Third Securities, INC.Broker
Comerica SecuritiesBroker
Citigroup Global Markets INC.Broker
Banc One Securities CorporationBroker
Roney & CO.Broker
First Chicago Nbd Investment Services, INC.Broker
Essex National Securities, INC.Broker
Independence One Brokerage Services, INC.Broker
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.