Stephanie L. Hagan

CARTER FINANCIAL GROUP

BUTLER, TN

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CRD#: 2459538

Professional summary

Stephanie Leigh Hagan, who also goes by Stephanie Leigh Kretschmer, is a registered financial advisor currently at CARTER FINANCIAL GROUP, INC. located in Butler, Tennessee and MUTUAL SECURITIES, INC. located in Barrington, Illinois.

Stephanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Stephanie has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephanie Leigh Kretschmer

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.

1. Carter Financial Group; Start Date: 10/14/2019, 200 N. Northwest Highway, Barrington, IL 60010, S-Corp, RIA, Investment Advisor - Minority Share Holder, Client facing, advice, trading client accounts, work with team on investment planning, maintain technology, including billing via Orion, Investment Related, 160 Hours per month. 2. Insurance Agent, Start Date: 10/06/2016, 200 N. Northwest Highway, Barrington, IL 60010, License, License, Insurance Agent, Insurance License, Investment Related, 10 Hours per month, 1 Hour per day during trading hours. 3. Mutual Securities, Inc. Broker Dealer Licensed Administrative Assistant Since 10/2021 Investment Related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Leigh Hagan'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

October 14, 2019 - Present

CARTER FINANCIAL GROUP, INC.

RIA

CRD#: 301025

BUTLER, TN

Current

October 14, 2021 - Present

MUTUAL SECURITIES, INC.

Office #1: 200 N. Northwest Highway, Barrington, IL 60010

CRD#: 13092

Barrington, IL

Past

March 24, 2014 - October 18, 2019

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

BARRINGTON, IL

Past

March 7, 2013 - October 18, 2019

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

BARRINGTON, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CARTER FINANCIAL GROUP, INC.

ABC ADVISORS LLC | SHAW FINANCIAL GROUP | CARTER FINANCIAL GROUP, INC.

CRD#: 301025 / SEC#: 801-118263

RIA

Registered Investment Advisory firm - (6/19/2020 Approved)

Illinois

Registered Investment Advisory firm - (6/19/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

Illinois
(10/14/2019)

Illinois
(10/14/2021)

IAR

Tennessee
(5/29/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/29/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/6/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CARTER FINANCIAL GROUP, INC.

ABC ADVISORS LLC | SHAW FINANCIAL GROUP | CARTER FINANCIAL GROUP, INC.

CRD#: 301025 / SEC#: 801-118263

RIA

Registered Investment Advisory firm - (6/19/2020 Approved)

Illinois

Registered Investment Advisory firm - (6/19/2020 Terminated)

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Contact information

Main Address

200 N. Northwest Highway, Barrington, IL 60010

Mailing Address

Phone number

(847) 713-2700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CARTER FINANCIAL GROUP ADV PART 2A (2/27/2025)

Regulatory assets under management

Total Number of Accounts	2,093
AUM (Assets Under Management)	$ 325,060,934

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

Stephanie L. Hagan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Leigh Hagan's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

CARTER FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/29/2013

SIE

Date: 10/1/2018

Series 7

Date: 3/6/2013

FINRA

Current Firm

CARTER FINANCIAL GROUP, INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARTER FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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