Stephen Hawbaker has been CCO of Allegheny Financial Group since January 2015, is a control person of the firm and directly owns under 5% of it. Stephen Hawbaker holds a Bachelor's Degree in Accounting from Baldwin-Wallace College.
Allegheny Financial Group is a Pittsburgh, PA firm with $5.59B under management, 3,971 clients and 28 advisers in one office, as of its August 2026 filing.
Stephen Hawbaker is Chief Financial Officer and Chief Compliance Officer of Allegheny Financial Group. He manages all finance, accounting and tax matters, as well as risk management, for Allegheny Financial Group and Allegheny Investments, and oversees facilities management. His experience includes 13 years in public accounting, four years as a Chief Financial Officer in the healthcare industry, and four years as Vice President of Corporate Services with a Pittsburgh-based bank.
No adviser firm registrations are on Stephen Hawbaker’s record.
Professional designations
Listed by Allegheny Financial Group
- Certified Public Accountant
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 2 September 2014 |
| Series 7 | General Securities Representative Examination | 14 April 2014 |
| Series 28 | Introducing Broker/Dealer Financial Operations Principal Examination | 8 January 2013 |
| Series 99 | Operations Professional Examination | 27 November 2012 |
- Name
- Compliance Officer Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Introducing Broker/Dealer Financial Operations Principal Examination
- Name
- Operations Professional Examination
- Full name
- Stephen Turner Hawbaker
- CRD
- 4752583
- Firm
- Allegheny Financial Group · CRD 104690
- Role
- CCO
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- alleghenyfinancial.com
Where does Stephen Hawbaker work?
Stephen Hawbaker has been CCO of Allegheny Financial Group since January 2015, and is a control person of the firm.
Does Stephen Hawbaker have a current investment-adviser registration?
Stephen Hawbaker has no current investment-adviser or broker registration.
What exams has Stephen Hawbaker passed?
Stephen Hawbaker has passed 5 licensing exams: the Series 99, Series 28, Series 7, Series 24 and Series 14. The earliest, the Series 99, was passed in November 2012. FINRA credited Stephen Hawbaker with the SIE, which began in October 2018.
Is Stephen Hawbaker registered with FINRA?
No. Stephen Hawbaker has no current broker registration.
How can I verify Stephen Hawbaker’s record?
Search CRD 4752583 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stephen Hawbaker’s full registration record.
