Brian J. Hafeman

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CRD#: 1422403

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.

Brian Jon Hafeman was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1986. Brian had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

October 17, 2019 - January 3, 2022

AEGIS WEALTH MANAGEMENT, INC.

RIA

CRD#: 301990

Henderson, NV

Past

June 8, 2017 - December 18, 2017

BLUE DUCK WEALTH MANAGEMENT

RIA

CRD#: 281832

Roseville, CA

Past

March 9, 2000 - March 19, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 12, 1998 - March 10, 2000

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 11, 1993 - May 5, 1998

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

February 23, 1987 - January 20, 1993

M.L. STERN & CO., LLC.

CRD#: 8327

BEVERLY HILLS, CA

Past

February 3, 1986 - April 30, 1986

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Past

January 15, 1986 - February 28, 1986

SELECT RESOURCES, LTD.

CRD#: 16858

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".

AEGIS WEALTH MANAGEMENT, INC.

CRD#: 301990 / SEC#: 801-117179

RIA

Registered Investment Advisory firm - (8/13/2019 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: 5/4/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/25/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/16/1985

General Securities Representative Examination

Current Firm

AEGIS WEALTH MANAGEMENT, INC.

CRD#: 301990 / SEC#: 801-117179

RIA

Registered Investment Advisory firm - (8/13/2019 Approved)

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Contact information

Main Address

317 State Street, Guthrie Center, IA 50115

Mailing Address

Phone number

(833) 483-8383

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AEGIS WEALTH MANAGEMENT INC. FORM ADV PART 2A BROCHURE (3/10/2025)

Regulatory assets under management

Total Number of Accounts	1,538
AUM (Assets Under Management)	$ 175,971,164

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

Brian J. Hafeman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BLUE DUCK WEALTH MANAGEMENT

PRUDENTIAL EQUITY GROUP, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

M.L. STERN & CO., LLC.

CETERA WEALTH SERVICES, LLC

SELECT RESOURCES, LTD.

Primary Firm SEC Registration

AEGIS WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/4/2015

Series 63

Date: 3/25/1987

Series 7

Date: 11/16/1985

Current Firm

AEGIS WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AEGIS WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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