Hugh A. Havener
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Hugh Alan Havener JR, who also goes by Chris Havener, Christopher Alan Havener Jr, Christopher Alan Havener, Hugh Alan Christopher Havener, was a registered financial professional .
Hugh is a previously registered financial professional and started their career in finance in 1982. Hugh had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2012 - February 21, 2014
FAMILY ENDOWMENT PARTNERS, LP
November 28, 2011 - December 22, 2011
BARCLAYS CAPITAL INC.
October 21, 2011 - December 22, 2011
BARCLAYS CAPITAL INC.
January 30, 2003 - December 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 30, 2003 - December 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 17, 2003 - February 21, 2003
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - February 21, 2003
CREDIT SUISSE SECURITIES (USA) LLC
March 20, 2001 - January 17, 2003
PERSHING LLC
December 6, 2000 - January 17, 2003
PERSHING LLC
September 17, 1999 - February 16, 2001
CREDIT SUISSE SECURITIES (USA) LLC
September 1, 1997 - October 5, 1999
DB ALEX. BROWN LLC
May 9, 1988 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
June 24, 1982 - May 12, 1988
JOHNSTON, LEMON & CO. INCORPORATED
April 29, 1982 - June 17, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FAMILY ENDOWMENT PARTNERS, LP
CRD#: 150151 / SEC#: 801-70225
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Massachusetts | ERA - Withdrawn - Failed to Renew | 12/31/2016 |
Red Flags
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