John Vasile Hategan
Professional Summary
John Vasile Hategan was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1973 - 2015. John had worked at 13 firms and has passed the SIE, Series 7 and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
52 years in the financial services industry
Current & Past Employments
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Current Firm
INDEPENDENCE CAPITAL CO., INC.
Contact Information
Main Address
5579 Pearl Road, Suite 100, Parma, OH 44129Mailing Address
5579 Pearl Road, Suite 100, Parma, OH 44129Phone Number
(440) 888-7000Established
Ohio since 04/29/1989Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
43SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
FINRA licenses (38 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
300AUM (Assets Under Management)
$118,696,378Disclosures
Regulatory Event
4Arbitration
1Similar Advisors
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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.
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Primary Firm SEC Registration
INDEPENDENCE CAPITAL CO., INC.
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Dec 1973Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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