Unclaimed Profile

Duc Rodney Hathaway

1492 CAPITAL MANAGEMENT, LLC·MILWAUKEE, Wisconsin

Series 7, Series 63, Series 65Clean record24 years registered1492 CAPITAL MANAGEMENT, LLC

309 NORTH WATER STREET, MILWAUKEE, WI 53202CRD# 2441358Firm CRD# 148566

Profile Verification

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

Identity

Duc Rodney Hathaway · MILWAUKEE, WI

Registration

CRD #2441358 · 1492 CAPITAL MANAGEMENT, LLC · 24 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: 1492 CAPITAL MANAGEMENT, LLC

1492 CAPITAL MANAGEMENT, LLC

Nov 2008 – Nov 2021

MILWAUKEE, WI

HEARTLAND ADVISORS, INC.

Apr 2002 – Aug 2007

MILWAUKEE, WI

Registrations & Exams

FINRA examinations passed

Series 7

Series 63

Series 65

Registration record

First registered · April 19, 2002

Years registered · 24

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

1492 CAPITAL MANAGEMENT, LLC

CRD 148566 · SEC 801-70447

AUM

$192M

Regulatory assets under management

Employees

102 client accounts

Services offered by 1492 CAPITAL MANAGEMENT, LLC

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Other

Client types served by the firm

Per Form ADV

Individuals

View all advisors at 1492 CAPITAL MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Duc Rodney Hathaway offer?

Duc Rodney Hathaway specializes in Investment Management, Wealth Management.

What are Duc Rodney Hathaway's credentials?

Duc Rodney Hathaway is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Duc Rodney Hathaway located?

Duc Rodney Hathaway is based in MILWAUKEE, Wisconsin, last registered with 1492 CAPITAL MANAGEMENT, LLC.

How does Duc Rodney Hathaway charge for services?

Duc Rodney Hathaway's firm is compensated through percentage of aum, other: a percentage of aum from persons receiving model portfolios. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is 1492 CAPITAL MANAGEMENT, LLC?

1492 CAPITAL MANAGEMENT, LLC has approximately 5 employees and manages $192M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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