Edward L. Hausgen
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.
Edward Lee Hausgen, who also goes by Ed Hausgen, Edward Spohn, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1997. Edward had worked at 10 firms and has passed the 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
March 24, 2010 - August 30, 2012
CANTELLA & CO., INC.
January 19, 2006 - March 19, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
January 3, 2005 - January 30, 2006
TRUIST INVESTMENT SERVICES, INC.
April 28, 2004 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
November 24, 2003 - April 14, 2004
WELLS FARGO CLEARING SERVICES, LLC
March 12, 2003 - November 24, 2003
CHARLES SCHWAB & CO., INC.
January 7, 2002 - February 26, 2003
MORGAN STANLEY DW INC.
October 30, 2000 - January 11, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 7, 1997 - October 30, 2000
PRUDENTIAL EQUITY GROUP, LLC
May 1, 1997 - September 2, 1997
D. H. BLAIR & CO., 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
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
