James Alan Hauer
Professional Summary
James Alan Hauer, who also goes by Jim Hauer, is a registered financial advisor currently at PARKLAND SECURITIES, LLC located in Phoenix, Arizona. James is registered as a RR (Registered Representative) and started their career in finance in 1987. James has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Hauer
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
PARKLAND SECURITIES, LLC | SAMMONS SECURITIES COMPANY, LLC
Contact Information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103Mailing Address
300 Parkland Plaza, Ann Arbor, MI 48103Phone Number
(734) 663-1611Established
Delaware since 07/26/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRANDON D. RYDELL GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | — |
| CARL F. ELLISON, JR. GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | — |
| JEROME M. RYDELL GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | — |
| KRISTEN A. BAUER GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | — |
| THERESA L. DUNBAR GIFT TRUST DATED 10/30/2020 | TRUST (OWNER OF NON-VOTING INTERESTS) | — |
| BAUER, KRISTEN ANNE | TRUSTEE OF THE KRISTEN A. BAUER GIFT TRUST DATED 10/30/2020 | 2457506 |
| DUNBAR, THERESA LYNN | TRUSTEE OF THE THERESA L. DUNBAR GIFT TRUST DATED 10/30/2020 | 7346975 |
| ELLISON, CARL | TRUSTEE OF THE CARL F. ELLISON JR. GIFT TRUST DATED 10/30/2020 | 7342594 |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| MYLES, JESSICA ROSE | FINOP | 7201565 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT AND TRUSTEE OF THE BRANDON D. RYDELL GIFT TRUST DATED 10/30/2020 | 2933397 |
| RYDELL, JEROME MATTHEW | TRUSTEE OF THE JEROME M. RYDELL GIFT TRUST DATED 10/30/2020 | 7346979 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN, MANAGER AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED | 408389 |
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING INTERESTS) | — |
Disclosures
Regulatory Event
11Arbitration
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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.
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State Registrations and Notice Filings
(7/23/2009)
(9/30/2009)
(2/18/2016)
(10/10/2022)
(2/4/2011)
(8/5/2026)
(9/9/2019)
(11/21/2012)
(3/8/2023)
(9/30/2009)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Alan Hauer's CRS (Customer Relationship Summary).
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