Louise H. Short

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CRD#: 1751555

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.

Louise Hamilton Short, who also goes by Louise Hamilton Kruger, was a registered financial professional .

Louise is a previously registered financial professional and started their career in finance in 1987. Louise had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Louise Hamilton Kruger

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

November 3, 2023 - December 4, 2023

SAGEVIEW ADVISORY GROUP, LLC

RIA

CRD#: 126777

Tulsa, OK

Past

April 22, 2022 - November 3, 2023

SAGEVIEW ADVISORY GROUP, LLC

RIA

CRD#: 126777

Tulsa, OK

Past

December 13, 2018 - April 14, 2022

CAPITAL ONE INVESTING, INC.

RIA

CRD#: 285084

Tulsa, OK

Past

November 20, 2015 - December 14, 2018

KHP CAPITAL LLC

RIA

CRD#: 281169

TULSA, OK

Past

June 21, 2012 - February 6, 2019

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

TULSA, OK

Past

May 3, 2010 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

TULSA, OK

Past

May 3, 2010 - February 6, 2019

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

TULSA, OK

Past

April 13, 2004 - December 8, 2008

S&S WEALTH MANAGEMENT

RIA

CRD#: 130652

TULSA, OK

Past

January 18, 2002 - May 3, 2010

MOMENTUM INDEPENDENT NETWORK INC.

RIA

CRD#: 17587

TULSA, OK

Past

June 17, 1994 - May 3, 2010

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

TULSA, OK

Past

July 16, 1990 - June 17, 1994

HILLTOP SECURITIES INC.

CRD#: 6220

DALLAS, TX

Past

October 12, 1987 - July 18, 1990

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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".

SAGEVIEW ADVISORY GROUP, LLC

401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA

Registered Investment Advisory firm - (5/31/2005 Approved)

California

Registered Investment Advisory firm - (6/7/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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: 5/15/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/14/1990

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/9/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/6/2015

General Securities Principal Examination

Current Firm

SAGEVIEW ADVISORY GROUP, LLC

401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA

Registered Investment Advisory firm - (5/31/2005 Approved)

California

Registered Investment Advisory firm - (6/7/2005 Terminated)

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Contact information

Main Address

4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660

Mailing Address

Phone number

(800) 814-8742

Established

Firm type

Fiscal year end

# of Employees

248

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGEVIEW ADVISORY GROUP ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	13,295
AUM (Assets Under Management)	$ 238,552,018,915

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

Louise H. Short

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SAGEVIEW ADVISORY GROUP, LLC

CAPITAL ONE INVESTING, INC.

KHP CAPITAL LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

S&S WEALTH MANAGEMENT

MOMENTUM INDEPENDENT NETWORK INC.

MOMENTUM INDEPENDENT NETWORK INC.

HILLTOP SECURITIES INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

SAGEVIEW ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/15/2001

Series 63

Date: 10/9/1987

SIE

Date: 10/1/2018

Series 7

Date: 8/14/1990

Series 6

Date: 10/9/1987

Series 24

Date: 7/6/2015

Current Firm

SAGEVIEW ADVISORY GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGEVIEW ADVISORY GROUP, LLC

TRUST BUT VERIFY

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