Stephen Hagan
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.
Stephen Hagan, who also goes by Stephen R Hagan, Stephen Rodgers Hagan, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2010. Stephen had worked at 6 firms and has passed the Series 63, SIE, Series 87 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 9, 2019 - October 21, 2021
WOLFE RESEARCH SECURITIES
June 12, 2017 - March 19, 2019
RBC CAPITAL MARKETS, LLC
August 8, 2013 - June 12, 2017
DEUTSCHE BANK SECURITIES INC.
July 27, 2012 - August 8, 2013
CITIGROUP GLOBAL MARKETS INC.
July 10, 2010 - July 24, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 3, 2010 - July 20, 2010
THOMAS WEISEL PARTNERS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WOLFE RESEARCH SECURITIES
CRD#: 151850 / SEC#: , 8-68406
Contact information
FINRA licenses (48 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
