Anthony J. Hazen

VISTIA CAPITAL

Castle Rock, CO 80104

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CRD#: 2384836

Professional summary

Anthony Joseph Hazen, who also goes by Tony Hazen, is a registered financial professional currently at VISTIA CAPITAL, LLC located in Castle Rock, Colorado.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 1993. Anthony has worked at 16 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tony Hazen

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) - BD

Click below to view Anthony Joseph Hazen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 20, 2021 - Present

VISTIA CAPITAL, LLC

Office #1: 202 6th Street, Suite 303, Castle Rock, CO 80104

CRD#: 311342

Castle Rock, CO

Past

November 15, 2018 - August 20, 2021

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

San Diego, CA

Past

June 30, 2016 - December 3, 2018

ESF EQUITY, LP

CRD#: 173087

SAN JUAN CAPISTRANO, CA

Past

February 11, 2016 - September 24, 2018

SELECT CAPITAL CORPORATION

CRD#: 145997

SAN JUAN CAPISTRANO, CA

Past

July 27, 2015 - December 15, 2015

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

July 8, 2014 - August 3, 2015

NEXBANK SECURITIES INC

CRD#: 133267

DALLAS, TX

Past

January 7, 2011 - June 24, 2014

BLUEROCK CAPITAL MARKETS LLC

CRD#: 136974

NEW YORK, NY

Past

June 8, 2009 - January 4, 2011

SELECT CAPITAL CORPORATION

CRD#: 145997

PHOENIX, AZ

Past

January 2, 2009 - June 1, 2009

ORCHARD SECURITIES, LLC

CRD#: 133378

PLEASANT GROVE, UT

Past

July 2, 2008 - January 2, 2009

OMNI BROKERAGE, INC.

CRD#: 16878

SOUTH JORDAN, UT

Past

July 24, 2007 - May 22, 2008

ACHILLES SECURITIES, LLC

CRD#: 133542

NEW YORK, NY

Past

July 30, 2002 - January 31, 2006

ALPHAMAX DISTRIBUTORS, L.L.C.

CRD#: 8258

LA JOLLA, CA

Past

January 28, 1995 - August 11, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 4, 1994 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

February 25, 1994 - March 10, 1994

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

November 2, 1993 - February 15, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 14, 1993 - October 6, 1993

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(8/20/2021)

Alaska
(8/20/2021)

Arizona
(8/20/2021)

Arkansas
(8/20/2021)

California
(8/20/2021)

Colorado
(8/20/2021)

Connecticut
(8/20/2021)

Delaware
(8/20/2021)

District of Columbia
(8/20/2021)

Florida
(9/10/2021)

Georgia
(8/20/2021)

Hawaii
(10/4/2021)

Idaho
(8/20/2021)

Illinois
(11/23/2021)

Indiana
(8/25/2021)

Iowa
(8/20/2021)

Kansas
(8/20/2021)

Kentucky
(8/20/2021)

Louisiana
(8/20/2021)

Maine
(8/20/2021)

Maryland
(8/20/2021)

Massachusetts
(10/26/2021)

Michigan
(8/20/2021)

Minnesota
(9/30/2021)

Mississippi
(8/20/2021)

Missouri
(8/20/2021)

Montana
(8/20/2021)

Nebraska
(8/20/2021)

Nevada
(8/20/2021)

New Hampshire
(8/20/2021)

New Jersey
(8/20/2021)

New Mexico
(8/20/2021)

New York
(8/20/2021)

North Carolina
(8/20/2021)

North Dakota
(8/20/2021)

Ohio
(8/20/2021)

Oklahoma
(8/20/2021)

Oregon
(8/20/2021)

Pennsylvania
(8/20/2021)

Rhode Island
(8/20/2021)

South Carolina
(8/20/2021)

South Dakota
(8/20/2021)

Tennessee
(8/20/2021)

Texas
(8/20/2021)

Utah
(8/20/2021)

Vermont
(8/20/2021)

Virginia
(10/19/2021)

Washington
(8/20/2021)

West Virginia
(8/20/2021)

Wisconsin
(8/20/2021)

Wyoming
(8/20/2021)

Exams

State Security Law Exam

Series 63

Date: 7/3/2002

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/3/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/16/2003

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/29/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/21/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VISTIA CAPITAL, LLC

CRD#: 311342 / SEC#: , 8-70643

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

202 6th Street, Suite 303, Castle Rock, CO 80104

Mailing Address

202 6th Street, Suite 303, Castle Rock, CO 80104

Phone number

(720) 738-1742

Established

Delaware since 07/13/2020

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GM417 HOLDINGS, INC.	MEMBER
HAYES, SUSAN ANN	FINOP/PFO/POO/CFO	2856326
MOSES, GARY LEE	CEO/DESIGNATED PRINCIPAL	7074013
ROBERTS, DANIEL ANTHONY	CCO	2208120
RODRIGUEZ DE ALMEIDA, PABLO ULISES	REGISTERED PRINCIPAL	7155564

Disclosures

Regulatory Event

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

Anthony J. Hazen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anthony Joseph Hazen's CRS (Customer Relationship Summary).

Certified licenses

Experience

PATRICK CAPITAL MARKETS, LLC

ESF EQUITY, LP

SELECT CAPITAL CORPORATION

CANTOR FITZGERALD & CO.

NEXBANK SECURITIES INC

BLUEROCK CAPITAL MARKETS LLC

SELECT CAPITAL CORPORATION

ORCHARD SECURITIES, LLC

OMNI BROKERAGE, INC.

ACHILLES SECURITIES, LLC

ALPHAMAX DISTRIBUTORS, L.L.C.

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

TD AMERITRADE, INC.

CITIGROUP GLOBAL MARKETS INC.

CHATFIELD DEAN & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/3/2002

Series 65

Date: 6/3/1994

SIE

Date: 10/1/2018

Series 3

Date: 1/16/2003

Series 7

Date: 7/29/2002

Series 24

Date: 11/21/2015

FINRA

Current Firm

VISTIA CAPITAL, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VISTIA CAPITAL, LLC

TRUST BUT VERIFY

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