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SH

Suzette S. Hagan

Some features on this profile are disabled
CRD#: 2872394
SH

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.

Suzette Sales Hagan, who also goes by Suzette Sales Hagan Mrs., Suzette M Sales, Suzette M. Sales Ms., was a registered financial professional .

Suzette is a previously registered financial professional and started their career in finance in 1999. Suzette had worked at 11 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Suzette Sales Hagan Mrs. | Suzette M Sales | Suzette M. Sales Ms.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 7, 2022 - December 4, 2023

INVESTMENT VISA CONSULTANTS, LLC

BD
CRD#: 169254
LAKE OSWEGO, OR
Past

June 18, 2021 - September 7, 2022

HATTERAS CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 143365
RALEIGH, NC
Past

January 16, 2020 - June 23, 2022

ASPIRATION FINANCIAL LLC

BD
CRD#: 291904
MARINA DEL REY, CA
Past

January 17, 2019 - September 1, 2020

FCG ADVISORS, LLC

BD
CRD#: 40633
CHATHAM, NJ
Past

May 9, 2014 - June 4, 2018

TRIAD ADVISORS LLC

BD
CRD#: 25803
Berwyn, PA
Past

September 3, 2013 - May 5, 2014

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
BERWYN, PA
Past

January 16, 2007 - September 3, 2013

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
BERWYN, PA
Past

December 15, 2003 - December 8, 2006

PERSHING LLC

BD
CRD#: 7560
MALVERN, PA
Past

March 1, 2001 - December 31, 2005

LOCKWOOD FINANCIAL SERVICES, INC.

BD
CRD#: 40655
MALVERN, PA
Past

January 4, 2001 - February 28, 2001

EMAT SECURITIES, INC.

BD
CRD#: 104261
MALVERN, PA
Past

December 13, 1999 - July 31, 2000

INVESTEC INC.

BD
CRD#: 18553
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/30/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/4/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/10/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/3/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/14/2000
Registered Options Principal Examination

Current Firm

IV
INVESTMENT VISA CONSULTANTS, LLC
INVESTMENT VISA CONSULTANTS, LLC

CRD#: 169254 / SEC#: , 8-69361

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

Main Address
2679 Glen Eagles Rd, Lake Oswego, OR 97034
Mailing Address
2679 Glen Eagles Rd, Lake Oswego, OR 97034
Phone number
(415) 720-6369
Established
Delaware since 05/01/2008
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DE KIRBY, VAUGHAN RANSONEMAN MEM/ GEN SEC PRIN6189313
DEKIRBY, CHRISTINE L DMEMBER6303240
THOMPSON, APRYL ALYNNCHIEF COMPLIANCE OFFICER1700640

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.

Company Information

INVESTMENT VISA CONSULTANTS, LLC

CRD#: 169254

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