Scott C. Hageman
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.
Scott Conrad Hageman was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1987. Scott had worked at 12 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2013 - April 1, 2013
SPC
January 2, 2013 - April 1, 2013
SIGMA FINANCIAL CORPORATION
February 16, 2011 - February 13, 2012
WADDELL & REED
February 7, 2011 - February 13, 2012
WADDELL & REED
January 7, 2010 - September 29, 2010
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
February 23, 2009 - December 31, 2009
OSAIC FS, INC.
February 23, 2009 - December 31, 2009
OSAIC FS, INC.
June 19, 2008 - January 27, 2009
NEXT FINANCIAL GROUP, INC.
June 19, 2008 - January 27, 2009
NEXT FINANCIAL GROUP, INC.
October 24, 2007 - June 24, 2008
LPL FINANCIAL LLC
October 24, 2007 - June 24, 2008
LPL FINANCIAL LLC
March 13, 2006 - October 22, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
March 13, 2006 - October 22, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
May 25, 2001 - February 28, 2006
HILLTOP SECURITIES INC.
May 25, 2001 - February 28, 2006
HILLTOP SECURITIES INC.
November 22, 1996 - June 13, 2001
WELLS FARGO CLEARING SERVICES, LLC
January 1, 1990 - December 3, 1996
UBS FINANCIAL SERVICES INC.
February 26, 1987 - January 18, 1990
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
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.
