Troy W. Haugen

ALERA INVESTMENT ADVISORS

Gresham, OR

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CRD#: 3267066

Professional summary

Troy W Haugen is a registered financial advisor currently at ALERA INVESTMENT ADVISORS, LLC located in Gresham, Oregon.

Troy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Troy has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1)Breakers LLC;not investment related;2036 SW Willow Pkwy,Gresham,OR 97080;owns the property for the coffee shop;president;6/15/2016;5 hrs/month;0 hrs during trading;manage the property 2)HaugenCorp dba ColdStone Creamery;not investment related;2036 SW Willow Pkwy,Gresham,Or 97080;ice cream shop;president;3/17/2010;16 hrs/month;0 hrs during trading;manage shop 3)Riptide Coffee Company dba the Human Bean;not investment related;2036 SW Willow Pkwy,Gresham,OR 97080;coffee shop;president;6/15/2016;16 hrs/month;0 hrs during trading;manage shop

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Troy W Haugen's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 18, 2024 - Present

ALERA INVESTMENT ADVISORS, LLC

RIA

CRD#: 287906

Gresham, OR

Past

August 23, 2024 - December 17, 2024

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

June 19, 2019 - September 6, 2024

ONEDIGITAL

RIA

CRD#: 106766

Scottsdale, AZ

Past

January 2, 2019 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

Scottsdale, AZ

Past

December 10, 2013 - January 4, 2019

INDEPENDENT FINANCIAL PARTNERS

RIA

CRD#: 125112

SCOTTSDALE, AZ

Past

August 26, 2011 - December 31, 2018

LPL FINANCIAL LLC

CRD#: 6413

SCOTTSDALE, AZ

Past

June 1, 2009 - September 14, 2011

MORGAN STANLEY

CRD#: 149777

PORTLAND, OR

Past

December 18, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

PORTLAND, OR

Past

June 1, 2005 - January 12, 2007

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

PORTLAND, OR

Past

June 6, 2003 - January 21, 2004

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

June 15, 2001 - March 10, 2003

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

November 9, 1999 - June 18, 2001

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

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".

ALERA INVESTMENT ADVISORS, LLC

CRD#: 287906 / SEC#: 801-111892

RIA

Registered Investment Advisory firm - (10/26/2017 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Oregon
(12/18/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/13/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/3/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/8/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/10/2001

General Securities Principal Examination

Current Firm

ALERA INVESTMENT ADVISORS, LLC

CRD#: 287906 / SEC#: 801-111892

RIA

Registered Investment Advisory firm - (10/26/2017 Approved)

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Contact information

Main Address

Three Parkway North Suite 500, Deerfield, IL 60015-2567

Mailing Address

Phone number

(847) 457-3000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (5/1/2025)

Regulatory assets under management

Total Number of Accounts	3,097
AUM (Assets Under Management)	$ 3,572,112,624

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.

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Firm Stability Insights

Troy W. Haugen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Troy W Haugen's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

ONEDIGITAL

TRIAD ADVISORS LLC

INDEPENDENT FINANCIAL PARTNERS

LPL FINANCIAL LLC

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

KEYBANC CAPITAL MARKETS INC.

KEYBANC CAPITAL MARKETS INC.

FINANCIAL WEST GROUP

SUTRO & CO. INCORPORATED

Primary Firm SEC Registration

ALERA INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/13/2013

Series 63

Date: 4/3/2000

SIE

Date: 10/1/2018

Series 7

Date: 11/8/1999

Series 24

Date: 9/10/2001

Current Firm

ALERA INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALERA INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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