MH
Michael P. Haggerty
COPPER FINANCIAL
Lenexa, KS 66219
Some features on this profile are disabled
CRD#: 3172920
MH
Professional summary
Michael Patrick Haggerty, CFP®, who also goes by Mike Haggerty, is a registered financial advisor currently at COPPER FINANCIAL located in Lenexa, Kansas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Haggerty
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) Directed Account Plan (DAP Retirement); Investment-related; N/A; Defined Contribution Plan in which Copper's parent company, CommunityAmerica Credit Union, is plan sponsor and Copper employees are participants; Board Member; August 3, 2015; 3 hrs; 3 hrs; Strategic oversight and voting member. (2) CommunityAmerica CUSO One; Investment-related; 9777 Ridge Dr Lenexa KS 66219; wholly-owned subsidiary of CommunityAmerica Credit Union which is the sole owner of Copper and majority owner of TruHome companies; President; July 30, 2016; 80 hrs; 80 hrs; Manage day-to-day business of the holding company. (3) TruHome Solutions; Investment-related; 9777 Ridge Dr Lenexa KS 66219; Mortgage originator and servicing company for 30+ credit unions; Board of Directors; July 30, 2016; 2 hrs; 0 hrs; Board oversight. (4) Boys and Girls Club of Greater KC; Not investment-related; 4001 Dr. Martin Luther King Blvd, Kansas City MO 64130; Charitable organization; Board Member; Jan 1, 2019; 1 hr; 0 hrs; Board member. (5) NACUSO; Investment-related; N/A; Credit union CUSO advocacy; Board Member; April 1, 2022; 2 hrs; 2 hrs; Board oversight. (6) CommunityAmerica Credit Union; Investment-related; 9777 Ridge Dr Lenexa LS 66219; Credit union; COO; Feb 28, 2023; 160 hrs; 160 hrs; Oversee credit union operations.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Patrick Haggerty's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Patrick Haggerty's 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®
Experience
Current
April 29, 2014 - Present
COPPER FINANCIAL
Office #1: 9777 Ridge Drive, Lenexa, KS 66219Office #2: 9777 Ridge Drive, Suite 360, Lenexa, KS 66219Office #3: 9777 Ridge Drive, Suite 360, Lenexa, KS 66219RIA
BD
CRD#: 168203
Lenexa, KS
Current
March 27, 2014 - Present
COPPER FINANCIAL
Office #1: 9777 Ridge Drive, Lenexa, KS 66219Office #2: 9777 Ridge Drive, Suite 360, Lenexa, KS 66219Office #3: 9777 Ridge Dr., Suite 360, Lenexa, KS 66219RIA
BD
CRD#: 168203
Lenexa, KS
Past
March 10, 2003 - May 19, 2014
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
LENEXA, KS
Past
March 5, 2003 - May 19, 2014
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
LENEXA, KS
Past
March 25, 1999 - February 27, 2003
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ST. LOUIS, MO
Past
March 8, 1999 - February 27, 2003
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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".
CF
COPPER FINANCIAL
COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC | COPPER FINANCIAL NETWORK, LLC | COPPER FINANCIAL
CRD#: 168203 / SEC#: 801-89168, 8-69295
RIA
Registered Investment Advisory firm - SEC (4/30/2015 Approved)California
Registered Investment Advisory firm - SEC (7/2/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/6/2014 Terminated)Iowa
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
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
RR
Alabama(8/21/2024)
RR
Alaska(8/21/2024)
RR
Arizona(8/21/2024)
RR
Arkansas(8/21/2024)
RR
California(8/21/2024)
RR
Colorado(8/21/2024)
RR
Connecticut(8/21/2024)
RR
Delaware(8/21/2024)
RR
District of Columbia(8/21/2024)
RR
Florida(8/21/2024)
RR
Georgia(8/21/2024)
RR
Hawaii(8/21/2024)
RR
Idaho(8/21/2024)
RR
Illinois(5/14/2014)
RR
Indiana(8/21/2024)
RR
Iowa(8/21/2024)
RR
Kansas(4/17/2014)
IAR
Kansas(4/29/2014)
RR
Kentucky(8/21/2024)
RR
Louisiana(8/21/2024)
RR
Maine(8/21/2024)
RR
Maryland(8/21/2024)
RR
Massachusetts(8/21/2024)
RR
Michigan(8/21/2024)
RR
Minnesota(8/21/2024)
RR
Mississippi(8/21/2024)
RR
Missouri(5/20/2014)
RR
Montana(8/21/2024)
RR
Nebraska(8/21/2024)
RR
Nevada(8/21/2024)
RR
New Hampshire(8/21/2024)
RR
New Jersey(8/21/2024)
RR
New Mexico(8/21/2024)
RR
New York(8/21/2024)
RR
North Carolina(8/21/2024)
RR
North Dakota(8/21/2024)
RR
Ohio(8/21/2024)
RR
Oklahoma(8/21/2024)
RR
Oregon(8/21/2024)
RR
Pennsylvania(8/21/2024)
RR
Rhode Island(8/21/2024)
RR
South Carolina(8/21/2024)
RR
South Dakota(8/21/2024)
RR
Tennessee(8/21/2024)
RR
Texas(8/21/2024)
IAR
Texas(8/21/2024)
RR
Utah(8/21/2024)
RR
Vermont(8/21/2024)
RR
Virginia(8/21/2024)
RR
Washington(8/21/2024)
RR
West Virginia(8/21/2024)
RR
Wisconsin(8/21/2024)
RR
Wyoming(8/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
COPPER FINANCIAL
COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC | COPPER FINANCIAL NETWORK, LLC | COPPER FINANCIAL
CRD#: 168203 / SEC#: 801-89168, 8-69295
RIA
Registered Investment Advisory firm - SEC (4/30/2015 Approved)California
Registered Investment Advisory firm - SEC (7/2/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/6/2014 Terminated)Iowa
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
9777 Ridge Dr., Suite 360, Lenexa, KS 66219
Mailing Address
9777 Ridge Dr., Suite 360, Lenexa, KS 66219
Phone number
(913) 905-8116
Established
Missouri since 11/05/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
50
SEC notice filing (29 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMUNITYAMERICA CUSO ONE LLC | SHAREHOLDER | |
| CHRISTIAN, TRACY | ELECTED MANAGER | 7678129 |
| DEHNER, MICHAEL JAMES | FINANCIAL OPERATIONS PRINCIPAL | 7334680 |
| GINTER, LISA ROSELLE | ELECTED MANAGER | 6482083 |
| HAGGERTY, MICHAEL PATRICK | PRESIDENT, CHIEF COMPLIANCE OFFICER | 3172920 |
| KROPP, STEPHEN DALE | ELECTED MANAGER | 7337607 |
| PATRICK, MICHAEL ALAN | ELECTED MANAGER | 6482087 |
| SARACINI, TIMOTHY RICE | ELECTED MANAGER | 1303842 |
Regulatory assets under management
| Total Number of Accounts | 4,082 |
| AUM (Assets Under Management) | $ 346,070,238 |
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.
