David G. Hafer
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.
David Gene Hafer, who also goes by Dave Hafer, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 10 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2011 - October 6, 2014
MMA ASSET MANAGEMENT LLC
January 4, 2011 - October 23, 2014
THE CENTURION GROUP, LLC
December 1, 2010 - November 7, 2013
LPL FINANCIAL LLC
March 26, 2004 - December 21, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 6, 1998 - March 29, 2004
COMMONWEALTH FINANCIAL NETWORK
January 19, 1990 - October 16, 1998
MML INVESTORS SERVICES, LLC
February 13, 1989 - December 17, 1989
GUARDIAN INVESTOR SERVICES LLC
June 5, 1987 - February 7, 1989
EQUITY SERVICES, INC.
January 18, 1986 - May 20, 1987
FSC SECURITIES CORPORATION
January 20, 1984 - April 19, 1985
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MMA ASSET MANAGEMENT LLC
CRD#: 155426 / SEC#: 801-71975
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
MMA ASSET MANAGEMENT LLC
CRD#: 155426 / SEC#: 801-71975
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 555 |
| AUM (Assets Under Management) | $ 715,242,096 |
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.
