CH
Carol L. Hager
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CRD#: 4566286
CH
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.
Carol Lynn Hager, who also goes by Carol L Goucher, Carol Lynn Goucher, Carol Goucher, Carol L Hager, Carol Hager, Carol L Leonard, Carol Lynn Leonard, Carol Leonard, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 2002. Carol had worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Carol L Goucher | Carol Lynn Goucher | Carol Goucher | Carol L Hager | Carol Hager | Carol L Leonard | Carol Lynn Leonard | Carol Leonard
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) INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: PREMIER ADVISORS GROUP | POSITION HELD: AGENT- | ADDRESS: 4111 S DARLINGTON, STE 800, TULSA, OK 74135 | START DATE: 2017-11-27 | NATURE OF ACTIVITY: MULTI-LINE INSURANCE BROKERAGE- | APPROX HRS PER MTH: 41-100 HOURS | APPROX TRADING HRS PER MTH: 41-100 HOURS | DESCRIPTION OF DUTIES: SALES & SERVICE OF BROKERAGE; AND LIFE, ACCIDENT, HEALTH/DI/LTC AND ANNUITY ACCOUNTS FOR MULTIPLE INSURANCE CARRIERS INCLUDING THE PENN MUTUAL LIFE INS. CO. 2) INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: LEGACY PLANNING PARTNERS, LLC | POSITION HELD: AGENT- | ADDRESS: 10900 HEFNER POINTE DR., STE 404, OKLAHOMA CITY, OK 73120 | START DATE: 2017-11-27 | NATURE OF ACTIVITY: MULTI-LINE INSURANCE BROKERAGE- | APPROX HRS PER MTH: OVER 140 HOURS | APPROX TRADING HRS PER MTH: OVER 140 HOURS | DESCRIPTION OF DUTIES: SALES & SERVICE OF BROKERAGE; AND LIFE, ACCIDENT, HEALTH/DI/LTC AND ANNUITY ACCOUNTS FOR MULTIPLE INSURANCE CARRIERS INCLUDING THE PENN MUTUAL LIFE INS. CO. 3) INSURANCE & INVESTMENT | INVESTMENT RELATED: YES | DBA NAME: FOR WOMEN BY WOMEN | POSITION HELD: PROPRIETOR/OWNER | ADDRESS: 10900 HEFNER POINTE DRIVE, SUITE 404, OKLAHOMA CITY, OK 73120 | START DATE: 6/1/2021 | NATURE OF ACTIVITY: LIFE INSURANCE & INVESTMENT BROKERAGE | APPROX HRS PER MTH: 26-40 HRS | APPROXIMATE TRADING HRS PER MTH: 26-40 HRS | DESCRIPTION OF DUTIES: INSURANCE& INVESTMENT SALES & SERVICE FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY 4) CENTER SPHERE | INVESTMENT RELATED: NO | DBA NAME: | POSITION HELD: CHAPTER LEADER/PRESIDENT | ADDRESS: NORMAN OK | START DATE: 11/1/2022 | NATURE OF ACTIVITY: NETWORKING GROUP | APPROX HRS PER MTH: LESS THAN 10 | APPROX TRADING HRS PER MTH: LESS THAN 10 | DESCRIPTION OF DUTIES: CHAPTER LEADER, RESPONSIBLE FOR ORGANIZING MEETINGS, ENCOURAGE MEMBERS TO BUILD BUSINESS WITH REFERRALS,AND TO INVITE OTHER PROFESSIONALS TO THE MEETING 5) RENTAL PROPERTY POSITION: Proprietor/Owner NATURE: Rental Property Owner INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 12/13/2022 ADDRESS: 12950 State HWY 74B, Blanchard OK 73010, United States DESCRIPTION: I own a rental property for which my daughter and her live occupy.She pays rent to cover the mortgage payment.
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®
NoneExperience
Past
May 1, 2023 - August 26, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Leawood, KS
Past
April 28, 2023 - August 26, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Leawood, KS
Past
March 15, 2018 - April 28, 2023
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
OKLAHOMA CITY, OK
Past
November 30, 2017 - April 28, 2023
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
OKLAHOMA CITY, OK
Past
October 18, 2006 - December 13, 2017
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
OKLAHOMA CITY, OK
Past
October 16, 2006 - December 13, 2017
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
OKLAHOMA CITY, OK
Past
June 28, 2006 - October 3, 2006
INSTITUTIONAL SECURITIES CORPORATION
RIA
CRD#: 20291
OKLAHOMA CITY, OK
Past
June 26, 2006 - October 3, 2006
INSTITUTIONAL SECURITIES CORPORATION
BD
CRD#: 20291
OKLAHOMA CITY, OK
Past
June 17, 2004 - June 28, 2006
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
OKLAHOMA CITY, OK
Past
June 15, 2004 - June 28, 2006
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
October 30, 2003 - June 7, 2004
EDWARD JONES
RIA
CRD#: 250
BLANCHARD, OK
Past
November 12, 2002 - June 7, 2004
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
October 10, 2002 - November 14, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
OKLAHOMA CITY, OK
Past
August 23, 2002 - October 29, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 23, 2002 - November 14, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
CRD#: 6363 / SEC#: 801-28543, 8-16791
RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
CRD#: 6363 / SEC#: 801-28543, 8-16791
RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
9013rd Avenue South, Minneapolis, MN 55402
Mailing Address
5221 Ameriprise Financial Center, Minneapolis, MN 55474
Phone number
(612) 671-3131
Established
Delaware since 06/14/1971
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
14,000
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
