Joseph E. Hogan

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CRD#: 1407072

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.

Joseph Edward Hogan, who also goes by Joseph Edward Hogan, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1985. Joseph had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph Edward Hogan

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 10, 2023 - November 16, 2023

FINANCIAL DIRECTIONS LLC

RIA

CRD#: 108475

TUCSON, AZ

Past

October 5, 2007 - December 31, 2021

TRIAD ADVISORS LLC

CRD#: 25803

TUCSON, AZ

Past

October 5, 1994 - October 5, 2007

LEGEND EQUITIES CORPORATION

CRD#: 30999

TUCSON, AZ

Past

June 24, 1986 - October 11, 1994

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Past

October 4, 1985 - February 4, 1986

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

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".

FINANCIAL DIRECTIONS LLC

CRD#: 108475 / SEC#: 801-56919

RIA

Registered Investment Advisory firm - (10/18/1999 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/21/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/6/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/23/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/3/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FINANCIAL DIRECTIONS LLC

CRD#: 108475 / SEC#: 801-56919

RIA

Registered Investment Advisory firm - (10/18/1999 Approved)

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Contact information

Main Address

1228 East Prince Road, Tucson, AZ 85719

Mailing Address

Phone number

(520) 408-7777

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 DATED 12/31/2024 (3/5/2025)

Regulatory assets under management

Total Number of Accounts	3,200
AUM (Assets Under Management)	$ 672,472,149

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.

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Advisor Monitoring

Firm Stability Insights

Joseph E. Hogan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRIAD ADVISORS LLC

LEGEND EQUITIES CORPORATION

CITISTREET EQUITIES LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

Primary Firm SEC Registration

FINANCIAL DIRECTIONS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/2022

Series 63

Date: 9/6/1990

SIE

Date: 10/1/2018

Series 7

Date: 1/23/1996

Series 6

Date: 10/3/1985

Current Firm

FINANCIAL DIRECTIONS LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL DIRECTIONS LLC

TRUST BUT VERIFY

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