Michael R. Hazen

VERITY ASSET MANAGEMENT

Austin, TX

Some features on this profile are disabled

CRD#: 4868870

Professional summary

Michael Raymond Hazen, who also goes by Mike Hazen, Michael Raymond Hazen, Michael Hazen, is a registered financial advisor currently at VERITY ASSET MANAGEMENT located in Austin, Texas and VERITY INVESTMENTS, INC. located in Durham, North Carolina.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Hazen | Michael Raymond Hazen | Michael Hazen

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) Verity Asset Management, Inc.; Investment-related; Durham NC; Registered Investment Adviser; Employee; Compliance operations manager; 10/2020; 160 hours per month; 160 during market hours; Various compliance tasks. 2) The Gideons International; Not investment-related; Austin, TX; Non-profit corporation; Volunteer; Chapter Treasurer; 04/2025; 4 hours per month; 0 during market hours; Managing the cash flow of the local chapter's operations. 3) Epizeuxis, LLC.; Not investment-related; Austin, TX; Holding company; Officer, Managing member; 08/2025; 1 hour per month; 1 during market hours; Administrative duties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Raymond Hazen'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

October 20, 2020 - Present

VERITY ASSET MANAGEMENT

RIA

CRD#: 158667

Austin, TX

Current

October 15, 2020 - Present

VERITY INVESTMENTS, INC.

Office #1: 280 S. Mangum Street Suite 550, Durham, NC 27701

CRD#: 41527

Durham, NC

Past

April 26, 2017 - January 15, 2020

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

SAN DIEGO, CA

Past

April 26, 2017 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

SAN DIEGO, CA

Past

April 26, 2017 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

San Diego, CA

Past

April 26, 2017 - January 15, 2020

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

April 26, 2017 - January 15, 2020

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

SAN DIEGO, CA

Past

April 26, 2017 - January 15, 2020

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SAN DIEGO, CA

Past

April 26, 2017 - January 15, 2020

CETERA ADVISORS LLC

CRD#: 10299

SAN DIEGO, CA

Past

April 26, 2017 - January 15, 2020

CETERA WEALTH SERVICES, LLC

CRD#: 13572

SAN DIEGO, CA

Past

April 22, 2016 - April 22, 2017

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

AUSTIN, TX

Past

November 9, 2015 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

AUSTIN, TX

Past

November 13, 2014 - April 22, 2017

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

April 25, 2005 - April 28, 2014

SCOTTRADE, INC.

CRD#: 8206

KENNESAW, GA

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".

VERITY ASSET MANAGEMENT

ENCOMPASS MORE | VERITY ASSET MANAGEMENT, INC. | VERITY ASSET MANAGEMENT

CRD#: 158667 / SEC#: 801-66730

RIA

Registered Investment Advisory firm - (5/26/2006 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.

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

North Carolina
(10/15/2020)

IAR

North Carolina
(10/27/2020)

Texas
(10/15/2020)

IAR

Texas
(10/20/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/29/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/12/2005

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: 4/22/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 6/4/2021

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/16/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VERITY ASSET MANAGEMENT

ENCOMPASS MORE | VERITY ASSET MANAGEMENT, INC. | VERITY ASSET MANAGEMENT

CRD#: 158667 / SEC#: 801-66730

RIA

Registered Investment Advisory firm - (5/26/2006 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

280 S Mangum St Ste 550, Durham, NC 27701-3676

Mailing Address

Phone number

(919) 490-6717

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (8/29/2025)

Regulatory assets under management

Total Number of Accounts	7,199
AUM (Assets Under Management)	$ 1,041,329,944

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael R. Hazen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Raymond Hazen's CRS (Customer Relationship Summary).

Certified licenses

Experience

VERITY INVESTMENTS, INC.

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

SUMMIT BROKERAGE SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

CETERA INVESTMENT SERVICES LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

SCOTTRADE, INC.

Primary Firm SEC Registration

VERITY ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 10/29/2015

Series 63

Date: 5/12/2005

SIE

Date: 10/1/2018

Series 7

Date: 4/22/2005

Series 51

Date: 6/4/2021

Series 24

Date: 12/16/2014

FINRA

Current Firm

VERITY ASSET MANAGEMENT

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VERITY ASSET MANAGEMENT

TRUST BUT VERIFY

Similar Advisors