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Daniel Theodore Hawtree

LPl Financial LLC

Frankfort, IL

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2023-12-13
TX RA APPROVED 2023-12-11
  • IL RA
    APPROVED
    Since 2023-12-13
  • TX RA
    APPROVED
    Since 2023-12-11

Branch Locations

19350 South Harlem Ave Ste 202, Frankfort, IL 60423 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Hawtree & Assoc. Monee IL 02/1997 Present
Sigma Financial Corporation Ann Arbor MI 12/1995 12/2023
Sigma Planning Corp. Ann Arbor MI 01/2000 12/2023
Lpl Financial Llc Frankfurt IL 12/2023 Present
  • 02/1997 → Present
    Hawtree & Assoc.
    Monee, IL
  • 12/1995 → 12/2023
    Sigma Financial Corporation
    Ann Arbor, MI
  • 01/2000 → 12/2023
    Sigma Planning Corp.
    Ann Arbor, MI
  • 12/2023 → Present
    Frankfurt, IL
Previous Registrations
  • 2011-09-26 → 2023-12-14
    Ann Arbor, MI
    Frankfort, IL
  • 2000-01-11 → 2007-12-31
    Monee, IL
Other Businesses

1) 12/2023 - MONEE DENTAL ASSOC PARTNERS / Real Estate Rental / Owner of Real Estate Rental / Inv. Related / Frankfort Il / Start date 12/20/1999 - 1 Hr per month 2) 12/2023 - Daniel Hawtree / Notary /Not Inv. Related / Frankfort Il / Start date 11/01/1991 3) 12/2023 - HAWTREE & ASSOCIATES / Tax Prep/Accounting/CPA / Owner of a CPA business / Inv. Related / Frankfort Il / Start date 02/01/1997 - 80 Hrs per month - 40% Time Spent 4) 12/2023 - LEGRIS, HAWTREE & ASSOCIATES DBA LHA, LTD / Tax Prep/Accounting/CPA / Owner of a CPA business / Inv. Related / Bourbonnais, Il / Start date 12/10/2011 - 20Hrs per month - 5% Time Spent 5) 12/2023 - MONEE MANAGEMENT INC / Business Entity For Tax/Investment Purposes Only / Owner of Real Estate Rental / Inv. Related / Frankfort Il / Inv. Related / Frankfort Il / Start date 12/20/1999 - 5 Hrs per month / 2% Time Spent 6) 12/2023 - Trust Support Services LTD / Tax Prep/Accounting/CPA / Inv. Related / Frankfort Il / Start date 11/10/2021 - 5Hrs per month - 1 % Time Spent 7) 12/2023 - MMI DEVELOPMENT LLC / Real Estate Rental / Owner of Real Estate Rental / Frankfort Il / Inv. Related / Start date 10/15/2022 - 2Hrs per month - 1% Time Spent 8) 12/2023 - Real Estate Rental / Owner of Real Estate Rental / Inv. Related / Frankfort Il / Start date 06/25/1992 - 2 Hrs per month

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-01-26
S63 Uniform Securities Agent State Law Examination 1991-11-29
  • S66 Uniform Combined State Law Examination
    2021-01-26
  • S63 Uniform Securities Agent State Law Examination
    1991-11-29
Designations

View on SEC IAPD

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