AH
Anne G. Hagan
SPC
NAPLES, FL 34108
Some features on this profile are disabled
CRD#: 1603564
AH
Professional summary
Anne Goodrich Hagan, CFP®, who also goes by Anne Adele Goodrich, is a registered financial advisor currently at SPC located in Naples, Florida and SIGMA FINANCIAL CORPORATION located in Naples, Florida.
Anne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Anne has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anne Adele Goodrich
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.
Sale of life fixed insurance products. Start date: 1/27/16 during regular business hours. Participate in Toastmasters Speakers Bureau, Naples, FL. This program offers speakers to the local community to cover topics of interest to the community. Start date: 7/1/24, less than 2 hrs/mo. INV REL: N Published author of workbook used for getting financial house in order. It is sold through BLURB.com. Start date: 8/5/24, approx. 5-6 hrs/mo, INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Anne Goodrich Hagan'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®
CFP®
Start date: 2007
Experience
Current
November 13, 2009 - Present
SPC
Office #1: 999 Vanderbilt Beach Rd Suite 200, Naples, FL 34108RIA
CRD#: 110692
NAPLES, FL
Current
November 13, 2009 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 999 Vanderbilt Beach Road Suite 200, Naples, FL 34108BD
CRD#: 14303
Naples, FL
Past
January 16, 2007 - November 18, 2009
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
NAPLES, FL
Past
January 12, 2007 - November 18, 2009
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
NAPLES, FL
Past
February 21, 2006 - January 25, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
RALEIGH, NC
Past
February 21, 2006 - January 25, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
RALEIGH, NC
Past
October 18, 2001 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
RALEIGH, NC
Past
October 25, 1996 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
April 3, 1996 - June 7, 1996
SCOTT & STRINGFELLOW, INC.
BD
CRD#: 3309
RICHMOND, VA
Past
November 15, 1994 - February 22, 1996
SCOTT & STRINGFELLOW, INC.
BD
CRD#: 3309
RICHMOND, VA
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".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 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
Florida(11/13/2009)
IAR
Florida(12/8/2009)
RR
New Hampshire(12/8/2014)
RR
North Carolina(11/13/2009)
RR
South Carolina(11/13/2009)
RR
Virginia(11/10/2014)
RR
Washington(1/6/2021)
RR
Wisconsin(6/9/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
