Bret L. Hedges
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.
Bret Louis Hedges, who also goes by Bret L Hedges, was a registered financial advisor .
Bret is a previously registered financial advisor and started their career in finance in 1991. Bret had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2015 - November 9, 2015
CAPITAL TRUST AND ASSOCIATES LLC
February 22, 2013 - January 4, 2016
ROTHSCHILD LIEBERMAN LLC
November 30, 2007 - February 23, 2010
SIGNATOR INVESTORS, INC.
March 26, 2001 - December 3, 2007
CAPITAL ONE INVESTMENT SERVICES LLC
October 15, 1999 - April 2, 2001
BNY INVESTMENT CENTER INC.
October 1, 1998 - October 13, 1999
IFMG SECURITIES, INC.
September 16, 1997 - October 20, 1998
INVEST FINANCIAL CORPORATION
June 26, 1991 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
June 26, 1991 - October 9, 1997
SIGNATOR INVESTORS, 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
CAPITAL TRUST AND ASSOCIATES LLC
CRD#: 168455 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 149 |
| AUM (Assets Under Management) | $ 14,603,763 |
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.
