Geoff A. Havre
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.
Geoff Adam Havre was a registered financial professional .
Geoff is a previously registered financial professional and started their career in finance in 1988. Geoff had worked at 7 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 1996 - May 17, 2021
FFEC WEALTH PARTNERS LLC
January 18, 1995 - December 21, 1995
NORCROSS & COMPANY
December 21, 1992 - January 15, 1995
GAINEY FINANCIAL SERVICES, INC.
October 28, 1991 - October 13, 1992
U.S. SECURITIES CLEARING CORP.
June 27, 1989 - May 29, 1991
BILTMORE EQUITIES & SECURITIES, LTD.
January 27, 1989 - May 24, 1990
CENTURY FINANCIAL SECURITIES, INC.
January 20, 1988 - January 20, 1989
PRINCETON AMERICAN EQUITIES CORPORATION
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 4/7/1999
Limited Representative-Equity Trader ExamCurrent Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| 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.
