Kwame J. Hauges
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.
Kwame John Hauges, who also goes by John Hauges, Kwame Hauges, was a registered financial professional .
Kwame is a previously registered financial professional and started their career in finance in 2010. Kwame had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2012 - September 10, 2012
CALDWELL INTERNATIONAL SECURITIES
December 5, 2011 - April 26, 2012
COLUMBUS ADVISORY GROUP, LTD.
July 28, 2010 - June 20, 2011
CHARLES MORGAN SECURITIES, INC.
July 20, 2010 - August 2, 2010
JOHN THOMAS FINANCIAL
May 19, 2010 - July 14, 2010
THINKEQUITY LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CALDWELL INTERNATIONAL SECURITIES
CRD#: 104323 / SEC#: , 8-52771
Contact information
Disclosures
| Regulatory Event | 8 |
| 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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