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Hans S. Wegesser

Some features on this profile are disabled
CRD#: 3060951
HW

Professional summary

Hans Stefan Wegesser was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Hans is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Hans had worked at 1 firm, which includes FREEDOM INVESTORS CORP..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

December 13, 2001 - July 19, 2002

FREEDOM INVESTORS CORP.

BD
CRD#: 23714
BROOKFIELD, WI
Past

October 26, 1998 - October 23, 2001

FREEDOM INVESTORS CORP.

BD
CRD#: 23714
BROOKFIELD, WI

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
Series 63
Date: 10/30/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 10/23/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FI
FREEDOM INVESTORS CORP.
FREEDOM INVESTORS CORP.

CRD#: 23714 / SEC#: 801-39223, 8-40671

BD
Terminated by SEC on 08/27/2017
PREMIUM
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Contact information

Main Address
333 Bishops Way, Ste 154, Brookfield, WI 53005
Mailing Address
Phone number
Established
Wisconsin since 11/25/1988
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
FREEDOM SECURITIES INCSHAREHOLDER
BLUMENSCHEIN, JOEL REIDPRESIDENT1372334
BLUMENSCHEIN, JOEL REIDCHIEF EXECUTIVE OFFICER1372334
RASTALL, LORI LEACHIEF COMPLIANCE OFFICER4023335

Disclosures

Regulatory Event4
Arbitration1

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

FREEDOM INVESTORS CORP.

CRD#: 23714

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