KH
Kevin P. Haggerty
SNOWBALL WEALTH MANAGEMENT
Phoenix, AZ
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CRD#: 6253879
KH
Professional summary
Kevin Paul Haggerty is a registered financial advisor currently at SNOWBALL WEALTH MANAGEMENT located in Phoenix, Arizona.
Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Kevin has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 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) HagsLLC: This is an real estate company that currently holds two rental properties. Kevin owns 85%. He spends 30 minutes a month on management functions. 2) All5in LLC: This entity holds a minority position in a take-out/delivery pizza operation located in Oklahoma. Kevin owns 15%. He spends 30 minutes a month on management functions. 3) SB Executive Service LLC: This is a bill pay company that handles monthly bill paying functions for its clients. Kevin owns 50%. He spends four hours per month communicating expense and planning objectives with clients.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Paul Haggerty'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®
NoneExperience
Current
January 17, 2022 - Present
SNOWBALL WEALTH MANAGEMENT
RIA
CRD#: 137419
Phoenix, AZ
Past
December 4, 2013 - December 5, 2016
NYLIFE SECURITIES LLC
BD
CRD#: 5167
ARVADA, CO
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".
SW
SNOWBALL WEALTH MANAGEMENT
SNOWBALL WEALTH MANAGEMENT | TNL ASSET MANAGEMENT LLC
CRD#: 137419 / SEC#: 801-130346
RIA
Registered Investment Advisory firm - (5/24/2024 Approved)Arizona
Registered Investment Advisory firm - (11/11/2024 Terminated)California
Registered Investment Advisory firm - (12/11/2024 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2024 Terminated)Illinois
Registered Investment Advisory firm - (11/11/2024 Terminated)Texas
Registered Investment Advisory firm - (11/11/2024 Terminated)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.Highlighted states indicate IAR registrations
IAR
Arizona(6/30/2022)
IAR
California(11/9/2022)
IAR
Colorado(1/17/2022)
IAR
Illinois(1/17/2022)
IAR
Texas(1/17/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SW
SNOWBALL WEALTH MANAGEMENT
SNOWBALL WEALTH MANAGEMENT | TNL ASSET MANAGEMENT LLC
CRD#: 137419 / SEC#: 801-130346
RIA
Registered Investment Advisory firm - (5/24/2024 Approved)Arizona
Registered Investment Advisory firm - (11/11/2024 Terminated)California
Registered Investment Advisory firm - (12/11/2024 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2024 Terminated)Illinois
Registered Investment Advisory firm - (11/11/2024 Terminated)Texas
Registered Investment Advisory firm - (11/11/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3445 Penrose Place Suite 130, Boulder, CO 80301
Mailing Address
Phone number
(303) 666-6292
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 145 |
| AUM (Assets Under Management) | $ 130,500,000 |
Red Flags
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