Stuart G. Hagler
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.
Stuart Gibson Hagler was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1992. Stuart had worked at 4 firms and has passed the Series 63, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2005 - July 13, 2005
MALORY INVESTMENTS, LLC
July 23, 2001 - January 22, 2003
RIDGEMONT SECURITIES, INC.
July 17, 1995 - February 16, 1999
CAMBRIDGE FINANCIAL CORPORATION
September 25, 1992 - June 23, 1995
KINLAW SECURITIES 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
Current Firm
MALORY INVESTMENTS, LLC
CRD#: 110936 / SEC#: , 8-53143
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STEIN, RONALD | MANAGING MBR/CEO/CFO/CCO | 434761 |
| STRAUSS, STEPHEN | MEMBER | |
| ZELLMER, KENNETH EUGENE JR | PRINCIPAL |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 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.
