Brian A. Hagen

D.H. HILL ADVISORS

Montgomery, TX

Some features on this profile are disabled

CRD#: 5189815

Professional summary

Brian Alan Hagen is a registered financial advisor currently at D.H. HILL ADVISORS, INC. located in Montgomery, Texas and D.H. HILL SECURITIES, LLLP located in The Woodlands, Texas.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Brian has worked at 8 firms and has passed the Series 66, SIE and Series 7 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.) GALLANT FINANCIAL POSITION: President NATURE: Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 07/01/2016 ADDRESS: 102 Pacific Grove, Montgomery TX 77316 DESCRIPTION: This activity is the same as already disclosed but the corporation will be compensated directly in leiu of paying me directly. This is being changed in order to best manage tax liabilities and provide structure to the activity. 2.) D.H. Hill Advisors, Inc., Registered Investment Advisor, Start Date 8/15/2016 No of Hours: 40, No of hours during trading: 20 3.)Deferred Sales Trust, Prospecting and Advising Deferred Sales Trust transactions, Start Date 3/27/2017, not investment related, 10 hours per month, 10 hours during trading, conducted at 102 Pacific Grove, Montgomery TX 77316

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Alan Hagen'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

August 15, 2016 - Present

D.H. HILL ADVISORS, INC.

RIA

CRD#: 116324

Montgomery, TX

Current

August 15, 2016 - Present

D.H. HILL SECURITIES, LLLP

Office #1: 1095 Evergreen Circle #200, The Woodlands, TX 77380

CRD#: 41528

The Woodlands, TX

Past

May 22, 2014 - August 30, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

THE WOODLANDS, TX

Past

May 6, 2014 - August 30, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

THE WOODLANDS, TX

Past

June 8, 2012 - May 16, 2014

D.H. HILL SECURITIES, LLLP

CRD#: 41528

KINGWOOD, TX

Past

April 17, 2012 - May 16, 2014

D.H. HILL ADVISORS, INC.

RIA

CRD#: 116324

KINGWOOD, TX

Past

May 18, 2010 - July 29, 2010

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

HOUSTON, TX

Past

May 18, 2010 - July 29, 2010

SECURITIES AMERICA, INC.

CRD#: 10205

HOUSTON, TX

Past

December 19, 2007 - April 22, 2010

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

INDIANAPOLIS, IN

Past

December 19, 2007 - April 22, 2010

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

October 10, 2006 - October 31, 2007

STANCORP INVESTMENT ADVISERS, INC.

RIA

CRD#: 110228

HOUSTON, TX

Past

October 9, 2006 - October 31, 2007

STANCORP EQUITIES, INC.

CRD#: 19517

HOUSTON, TX

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".

D.H. HILL ADVISORS, INC.

D.H. HILL ADVISORS, INC. | FIRST FINANCIAL UNITED MANAGEMENT, INC. | DBA D.H. HILL WEALTH MANAGEMENT

CRD#: 116324 / SEC#: 801-115203

RIA

Registered Investment Advisory firm - (5/2/2019 Approved)

Arizona

Registered Investment Advisory firm - (5/20/2019 Terminated)

California

Registered Investment Advisory firm - (6/19/2019 Terminated)

Colorado

Registered Investment Advisory firm - (5/29/2019 Terminated)

Delaware

Registered Investment Advisory firm - (5/21/2019 Terminated)

Florida

Registered Investment Advisory firm - (5/20/2019 Terminated)

Georgia

Registered Investment Advisory firm - (5/31/2019 Terminated)

Illinois

Registered Investment Advisory firm - (5/2/2019 Terminated)

Iowa

Registered Investment Advisory firm - (5/21/2019 Terminated)

Kansas

Registered Investment Advisory firm - (5/20/2019 Terminated)

Kentucky

Registered Investment Advisory firm - (11/14/2011 Terminated)

Louisiana

Registered Investment Advisory firm - (5/20/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/20/2019 Terminated)

Michigan

Registered Investment Advisory firm - (5/20/2019 Terminated)

Missouri

Registered Investment Advisory firm - (5/20/2019 Terminated)

Nebraska

Registered Investment Advisory firm - (5/28/2019 Terminated)

New Mexico

Registered Investment Advisory firm - (5/20/2019 Terminated)

New York

Registered Investment Advisory firm - (5/20/2019 Terminated)

North Carolina

Registered Investment Advisory firm - (6/6/2019 Terminated)

Ohio

Registered Investment Advisory firm - (5/21/2019 Terminated)

Oklahoma

Registered Investment Advisory firm - (5/20/2019 Terminated)

Rhode Island

Registered Investment Advisory firm - (5/20/2019 Terminated)

South Carolina

Registered Investment Advisory firm - (5/20/2019 Terminated)

Tennessee

Registered Investment Advisory firm - (5/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/20/2019 Terminated)

Virginia

Registered Investment Advisory firm - (5/22/2019 Terminated)

Washington

Registered Investment Advisory firm - (5/27/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Delaware
(8/15/2016)

Florida
(8/15/2016)

IAR

Florida
(12/20/2016)

Louisiana
(8/15/2016)

IAR

Louisiana
(8/22/2016)

Texas
(8/15/2016)

IAR

Texas
(8/15/2016)

Virginia
(8/15/2016)

IAR

Virginia
(10/31/2016)

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: 8/17/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/6/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

D.H. HILL ADVISORS, INC.

D.H. HILL ADVISORS, INC. | FIRST FINANCIAL UNITED MANAGEMENT, INC. | DBA D.H. HILL WEALTH MANAGEMENT

CRD#: 116324 / SEC#: 801-115203

RIA

Registered Investment Advisory firm - (5/2/2019 Approved)

Arizona

Registered Investment Advisory firm - (5/20/2019 Terminated)

California

Registered Investment Advisory firm - (6/19/2019 Terminated)

Colorado

Registered Investment Advisory firm - (5/29/2019 Terminated)

Delaware

Registered Investment Advisory firm - (5/21/2019 Terminated)

Florida

Registered Investment Advisory firm - (5/20/2019 Terminated)

Georgia

Registered Investment Advisory firm - (5/31/2019 Terminated)

Illinois

Registered Investment Advisory firm - (5/2/2019 Terminated)

Iowa

Registered Investment Advisory firm - (5/21/2019 Terminated)

Kansas

Registered Investment Advisory firm - (5/20/2019 Terminated)

Kentucky

Registered Investment Advisory firm - (11/14/2011 Terminated)

Louisiana

Registered Investment Advisory firm - (5/20/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/20/2019 Terminated)

Michigan

Registered Investment Advisory firm - (5/20/2019 Terminated)

Missouri

Registered Investment Advisory firm - (5/20/2019 Terminated)

Nebraska

Registered Investment Advisory firm - (5/28/2019 Terminated)

New Mexico

Registered Investment Advisory firm - (5/20/2019 Terminated)

New York

Registered Investment Advisory firm - (5/20/2019 Terminated)

North Carolina

Registered Investment Advisory firm - (6/6/2019 Terminated)

Ohio

Registered Investment Advisory firm - (5/21/2019 Terminated)

Oklahoma

Registered Investment Advisory firm - (5/20/2019 Terminated)

Rhode Island

Registered Investment Advisory firm - (5/20/2019 Terminated)

South Carolina

Registered Investment Advisory firm - (5/20/2019 Terminated)

Tennessee

Registered Investment Advisory firm - (5/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/20/2019 Terminated)

Virginia

Registered Investment Advisory firm - (5/22/2019 Terminated)

Washington

Registered Investment Advisory firm - (5/27/2019 Terminated)

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Contact information

Main Address

1543 Green Oak Place Suite 100, Kingwood, TX 77339

Mailing Address

1543 Green Oak Place Suite 100, Kingwood, TX 77339

Phone number

(832) 644-1852

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A: APPENDIX 1- D.H. HILL ADVISORS INC, WRAP BROCHURE (3/27/2025)

FORM ADV 2A: D.H. HILL ADVISORS, INC. DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	953
AUM (Assets Under Management)	$ 196,852,282

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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Brian A. Hagen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Alan Hagen's CRS (Customer Relationship Summary).

Certified licenses

Experience

D.H. HILL SECURITIES, LLLP

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

D.H. HILL SECURITIES, LLLP

D.H. HILL ADVISORS, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

STANCORP INVESTMENT ADVISERS, INC.

STANCORP EQUITIES, INC.

Primary Firm SEC Registration

D.H. HILL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/17/2006

SIE

Date: 10/1/2018

Series 7

Date: 10/6/2006

FINRA

Current Firm

D.H. HILL ADVISORS, INC.

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

D.H. HILL ADVISORS, INC.

TRUST BUT VERIFY

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