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RH

Richard J. Hagie

SEXTANT SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 5744551
RH

Professional summary

Richard Justin Hagie is a registered financial professional currently at SEXTANT SECURITIES, LLC located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2010. Richard has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Justin Hagie's 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 8, 2023 - Present

SEXTANT SECURITIES, LLC

Office #1: 600 Madison Avenue 17th Floor, New York, NY, 10022
BD
CRD#: 283937
New York, NY
Past

January 2, 2014 - July 31, 2023

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
New York, NY
Past

April 3, 2012 - September 25, 2014

STANDARD CREDIT SECURITIES INC.

BD
CRD#: 42813
NEW YORK, NY
Past

February 8, 2010 - April 24, 2012

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Florida
(11/20/2024)
RR
Massachusetts
(11/4/2024)
RR
New York
(8/8/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/11/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/5/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SEXTANT SECURITIES, LLC
FING SECURITIES LLC | SEXTANT SECURITIES, LLC | SEXTANT CAPITAL SOLUTIONS

CRD#: 283937 / SEC#: , 8-69772

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
600 Madison Avenue 17th Floor, New York, NY 10022
Mailing Address
600 Madison Avenue 17th Floor, New York, NY 10022
Phone number
(917) 715-5500
Established
New York since 02/29/2016
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MERCHANT ASSET MANAGEMENT, LLCMEMBER
DALY, PATRICK LEOCEO2186449
FOX, GERHARD ROBERTCCO2796860
ROCHE, PASCALFINOP/PFO/POO5920968

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.

Company Information

SEXTANT SECURITIES, LLC

CRD#: 283937New York, NY 10022

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