Keenan R. Hauke
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.
Keenan R Hauke was a registered financial advisor .
Keenan is a previously registered financial advisor and started their career in finance in 1994. Keenan had worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2005 - April 25, 2011
SAMEX CAPITAL ADVISORS
May 1, 1996 - October 19, 1999
BLUESTONE CAPITAL CORP.
September 14, 1994 - August 1, 1996
M.S. FARRELL & COMPANY, INC.
May 20, 1994 - September 8, 1994
FIRST ALLIED SECURITIES, INC.
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
SAMEX CAPITAL ADVISORS
CRD#: 133446 / SEC#: 801-70287
Contact information
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.
