Erwin J. Hafeman
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.
Erwin John Hafeman was a registered financial professional .
Erwin is a previously registered financial professional and started their career in finance in 1966. Erwin had worked at 2 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 1985 - November 30, 1995
THE INVESTMENT FIRM
January 14, 1966 - November 10, 1987
DUBUQUE HOLDING COMPANY
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
Series 1
Date: 8/12/1964
Registered Representative ExaminationSeries 00
Date: 12/22/1965
General Securities Principal ExaminationCurrent Firm
THE INVESTMENT FIRM
CRD#: 16417 / SEC#: , 8-12677
Contact information
Documents
Red Flags
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