Gary I. Hagstrom
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.
Gary Irving Hagstrom was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1970. Gary had worked at 12 firms and has passed the Series 63, Series 55, Series 7, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2005 - December 14, 2010
STERNE, AGEE & LEACH, INC.
July 31, 2002 - March 28, 2005
MOORS & CABOT, INC.
July 17, 1998 - January 26, 2001
STEPHENS
October 31, 1997 - July 8, 1998
MELVIN SECURITIES, L.L.C.
September 11, 1996 - April 24, 1997
HARRIS NESBITT CORP.
July 24, 1995 - September 12, 1996
CLEARY GULL REILAND & MCDEVITT INC.
March 9, 1993 - March 16, 1995
THE CHICAGO CORPORATION
March 20, 1978 - July 15, 1989
WILLIAM BLAIR
December 13, 1977 - April 13, 1978
JEFFERIES LLC
October 1, 1975 - December 19, 1977
WOOD, STRUTHERS & WINTHROP INC
November 21, 1973 - October 11, 1975
G.A. SAXTON & COMPANY INC
October 30, 1970 - December 2, 1973
BACHE & CO INCORPORATED
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 55
Date: 10/27/2008
Limited Representative-Equity Trader ExamPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 10/21/1970
Registered Representative ExaminationCurrent Firm
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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