Owen L. Saddler
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.
Owen Leslie Saddler JR was a registered financial professional .
Owen is a previously registered financial professional and started their career in finance in 1967. Owen had worked at 2 firms and has passed the Series 63, Series 55, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2002 - October 2, 2007
SMITH HAYES FINANCIAL SERVICES CORPORATION
February 21, 1967 - March 18, 2002
KFS BD, 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
Series 55
Date: 11/2/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 4/11/1966
Registered Representative ExaminationSeries 00
Date: 11/26/1975
General Securities Principal ExaminationCurrent Firm
SMITH HAYES FINANCIAL SERVICES CORPORATION
CRD#: 17059 / SEC#: , 8-34980
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMITH HAYES COMPANIES D/B/A SMITH HAYES | PARENT COMPANY | |
| DAVIS, COLLEEN TERESE | VICE PRESIDENT, OPERATIONS | 1274284 |
| DECKER, JOHN LOUIS JR | PRESIDENT, CEO | 2812644 |
| DEWHURST, KATHLEEN ANN | VICE PRESIDENT, HR | 1245164 |
| HOWELL, RUTH ANNETTE | CHIEF COMPLIANCE OFFICER | 1255071 |
| KERR, JAMES PATRICK | DIRECTOR | 824040 |
| MANN, BRANDON MICHAEL | VICE PRESIDENT OF SALES | 4488207 |
| NELSON, THOMAS STEVEN | DIRECTOR | 1108782 |
| PURPURA, MICHAEL JOSEPH | DIRECTOR | 2095576 |
| SCHAEFER, BOBBY JOHN | CFO / SECRETARY / TREASURER | 5569260 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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