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RIA / WealthAdvisorCertified Financial Planner25 years in industry

SPENCER ODOM HAWKINS

Advisor at SPENCER HAWKINS INVESTMENT ADVISER, LLC

Upper Arlington, OH

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Search this name across graphsid dfx:ria:92441fd8-c3c4-46f3-1ee2-13991a5ba3e8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 29, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SPENCER HAWKINS INVESTMENT ADVISER, LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 23, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Aug 23, 2001
First registration: Apr 29, 2008
Dual registered: no
Other names: SPENCER O HAWKINS
IAPD individual key: 4281861

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SPENCER HAWKINS INVESTMENT ADVISER, LLC	State registered	Nov 7, 2018	n/a	yes	Upper Arlington, OH	Current employment
SOUTHEAST INVESTMENTS, N.C., INC.	State registered	Feb 1, 2016	Aug 27, 2018	no	UPPER ARLINGTON, OH\|CHARLOTTE, NC	Previous registration
NATIONWIDE SECURITIES, LLC	No RAUM reported	Jan 25, 2013	Feb 18, 2014	no	Grandview Heights, OH\|WESTERVILLE, OH	Previous registration
KOVACK ADVISORS, INC.	Bd affiliated wealth	Apr 29, 2008	Dec 31, 2009	no	UPPER ARLINGTON, FL\|FT. LAUDERDALE, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SOUTHEAST INVESTMENTS, N.C., INC.	SPENCER HAWKINS INVESTMENT ADVISER, LLC	Aug 27, 2018	Nov 7, 2018	72	Firm change	Other
NATIONWIDE SECURITIES, LLC	SOUTHEAST INVESTMENTS, N.C., INC.	Feb 18, 2014	Feb 1, 2016	713	Firm change after gap	Other
KOVACK ADVISORS, INC.	NATIONWIDE SECURITIES, LLC	Dec 31, 2009	Jan 25, 2013	1,121	Firm change after gap	Other

Relationships

Registered with (4)

→ SPENCER HAWKINS INVESTMENT ADVISER, LLCRegistered adviserregistration: current employment
Nov 7, 2018 to presentfactForm ADV
→ SOUTHEAST INVESTMENTS, N.C., INC.Registered adviserregistration: previous registration
Feb 1, 2016 to Aug 27, 2018factForm ADV
→ NATIONWIDE SECURITIES, LLCRegistered adviserregistration: previous registration
Jan 25, 2013 to Feb 18, 2014factForm ADV
→ KOVACK ADVISORS, INC.Registered adviserregistration: previous registration
Apr 29, 2008 to Dec 31, 2009factForm ADV

Dated events

No dated event names this entity yet.