Mark A. Haugo
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.
Mark Allen Haugo was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 4 firms and has passed the Series 65, Series 63 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
October 20, 1993 - October 12, 1995
WESTAMERICA INVESTMENT GROUP
April 30, 1992 - June 14, 1993
RAUSCHER PIERCE REFSNES, INC.
May 17, 1990 - May 15, 1992
PRUDENTIAL EQUITY GROUP, LLC
June 16, 1987 - June 4, 1990
MORGAN STANLEY DW INC.
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
WESTAMERICA INVESTMENT GROUP
CRD#: 6626 / SEC#: , 8-34425
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
