Unclaimed Profile

Audrey J Cawman

HABERER REGISTERED INVESTMENT ADVISOR INC·CINCINNATI, Ohio

SIE, Series 6, Series 7, Series 63, Series 66Clean record16 years registeredHABERER REGISTERED INVESTMENT ADVISOR INC

201 E FIFTH ST, CINCINNATI, OH 45202CRD# 4697718Firm CRD# 110382

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Audrey J Cawman · CINCINNATI, OH

Registration

CRD #4697718 · HABERER REGISTERED INVESTMENT ADVISOR INC · 16 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: HABERER REGISTERED INVESTMENT ADVISOR INC

HABERER REGISTERED INVESTMENT ADVISOR INC

Mar 2014 – Jan 2015

CINCINNATI, OH

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Oct 2013 – Mar 2014

CINCINNATI, OH

FIFTH THIRD SECURITIES, INC.

May 2012 – Sep 2013

TRENTON, OH

SUNTRUST INVESTMENT SERVICES, INC.

Jun 2010 – Sep 2011

WARRENTON, VA

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 63

Series 66

Registration record

First registered · June 14, 2010

Years registered · 16

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

HABERER REGISTERED INVESTMENT ADVISOR INC

CRD 110382 · SEC 801-13081

AUM

$314M

Regulatory assets under management

Employees

311 client accounts

Services offered by HABERER REGISTERED INVESTMENT ADVISOR INC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at HABERER REGISTERED INVESTMENT ADVISOR INC →

Introduction

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Frequently Asked Questions

What services does Audrey J Cawman offer?

Audrey J Cawman specializes in Financial Planning, Investment Management.

What are Audrey J Cawman's credentials?

Audrey J Cawman is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Audrey J Cawman located?

Audrey J Cawman is based in CINCINNATI, Ohio, last registered with HABERER REGISTERED INVESTMENT ADVISOR INC.

How does Audrey J Cawman charge for services?

Audrey J Cawman's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is HABERER REGISTERED INVESTMENT ADVISOR INC?

HABERER REGISTERED INVESTMENT ADVISOR INC has approximately 11 employees and manages $314M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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