Anne H. Hagio
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.
Anne Henderson Hagio, CFP®, who also goes by Anne D Hagio, Anne D Henderson, Anne D Simpson, Anne Darlene Simpson, Anne D Yockelson, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1982. Anne had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2011 - April 6, 2023
EAGLE STRATEGIES LLC
July 5, 1988 - April 6, 2023
NYLIFE SECURITIES LLC
October 20, 1987 - May 17, 1988
CHRISTOPHER WEIL & COMPANY, INC
April 3, 1987 - August 26, 1987
ROBERT W. BAIRD & CO. INCORPORATED
April 6, 1983 - April 30, 1986
ASSOCIATED SECURITIES CORP.
June 28, 1982 - April 9, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
