Spencer Odom Hawkins

Current Employers

Spencer Hawkins Investment Adviser, Llc

Columbus, OH • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2018-11-07

OH RA
APPROVED

Since 2018-11-07

Branch Locations

Upper Arlington, OH • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Southeast Investments, N.C. Inc.	Charlotte	NC	03/2014	08/2018
Protected World Insurance Agency, Llc	Upper Arlington	OH	02/2015	Present
Spencer Hawkins Investment Adviser, Llc	Upper Arlington	OH	09/2018	Present

03/2014 → 08/2018

Southeast Investments, N.C. Inc.

Charlotte, NC
02/2015 → Present

Protected World Insurance Agency, Llc

Upper Arlington, OH
09/2018 → Present

Spencer Hawkins Investment Adviser, Llc

Upper Arlington, OH

Previous Registrations

2016-02-01 → 2018-08-27

Southeast Investments, N.C., Inc.

Upper Arlington, OH

Charlotte, NC
2013-01-25 → 2014-02-18

Nationwide Securities, Llc

Grandview Heights, OH

Westerville, OH
2008-04-29 → 2009-12-31

Kovack Advisors, Inc.

Upper Arlington, FL

Ft. Lauderdale, FL

Other Businesses

PROTECTED WORLD INSURANCE AGENCY, LLC, NON-INVESTMENT RELATED BUSINESS 2138 HARWITCH RD, UPPER ARLINGTON, OH 43221. OWNER/PRINCIPAL AGENT OF INDEPENDENT INSURANCE AGENCY REPRESENTING ALL MAJOR LINES OF INSURANCE. I DEVOTE 80 HOURS PER MONTH WORKING AGENCY BUSINESS, OCCURING UP TO 25 HOURS PER MONTH DURING SECURITIES TRADING HOURS (TYPICALLY ONE HOUR PER WEEKDAY DURING TRADING HOURS). I AM COMPENSATED BY COMMISSIONS. DUTIES: MARKETING, SALES, QUOTING, BINDING, UNDERWRITING DILIGENCE, BILLING AND POLICY ASSISTANCE.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-08-23

S66 Uniform Combined State Law Examination

2001-08-23

Designations

Other Names

Spencer O Hawkins

View on SEC IAPD