AH
Allen J. Hegener
NFSG
BRADENTON, FL
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CRD#: 1136011
AH
Professional summary
Allen John Hegener Mr, who also goes by Allen John Hegener, is a registered financial advisor currently at NFSG CORPORATION located in Bradenton, Florida and NEWBRIDGE SECURITIES CORPORATION located in Boca Raton, Florida.
Allen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Allen has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Allen John Hegener
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) Business Name: Hegener Risk Management Investment Related: Yes Address: Bradenton FL Nature of Business: Registered Rep Activities through New Bridge Securities. Using a DBA name Position, Title or Relationship: President-Hegener Risk Management Start Date: 4/5/2019 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Read 1,000 pages per week and keep up with Market Cycles and Investment Company Earnings and News. Provide Income for clients so that can enjoy life. Portfolio Management and Security Selection. (2) Business Name: Hegener Risk Management (DBA) - Investment Related: Yes - Address: Bradenton FL - Nature of Business: Insurance sales/Insurance Products using a DBA name, - Position, Title or Relationship: President-Hegener Risk Management Start Date: 4/5/2019 Hours per month: 20% per month during trading hours - Duties: Insurance Analysis and sales of Life, Disability and Health Insurance - non securities products.
CRS (Client Relationship Summary) - RIA
Click below to view Allen John Hegener Mr's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 27, 2021 - Present
NFSG CORPORATION
RIA
CRD#: 130814
BRADENTON, FL
Current
May 14, 2021 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432BD
CRD#: 104065
Boca Raton, FL
Past
June 6, 2019 - March 26, 2021
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Sarasota, FL
Past
April 8, 2019 - March 26, 2021
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Sarasota, FL
Past
September 15, 2010 - April 18, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
SARASOTA, FL
Past
September 10, 2010 - April 18, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
SARASOTA, FL
Past
February 20, 2007 - September 14, 2010
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
SARASOTA, FL
Past
February 16, 2007 - September 14, 2010
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
SARASOTA, FL
Past
July 18, 1994 - February 22, 2007
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
SARASOTA, FL
Past
March 5, 1987 - February 22, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
SARASOTA, FL
Past
October 2, 1984 - March 26, 1987
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
February 2, 1984 - October 26, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
June 13, 1983 - January 31, 1984
NEW ENGLAND SECURITIES
BD
CRD#: 615
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(5/26/2021)
RR
Florida(5/26/2021)
IAR
Florida(5/27/2021)
RR
Georgia(5/27/2021)
RR
Michigan(5/28/2021)
RR
North Carolina(1/31/2024)
RR
Texas(5/26/2021)
IAR
Texas(9/10/2021)
RR
Virginia(5/27/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
