Tori C. Ten Hagen

BRINDLE & BAY FINANCIAL ADVISORS

FRISCO, TX 75034

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CRD#: 7606463

Professional summary

Tori Christine Ten Hagen is a registered financial advisor currently at BRINDLE & BAY FINANCIAL ADVISORS, LLC located in Frisco, Texas.

Tori is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Tori has worked at 1 firm and has passed the Series 65 exam.

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.

LICENSED INSURANCE AGENT (LIFE) - INVESTMENT RELATED - FRISCO, TX - INSURANCE SALES - START: 04/2022 - 10 HRS PER MONTH DURING TRADING - REVIEWS POLICIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tori Christine Ten Hagen's CRS (Customer Relationship Summary).

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 2, 2022 - Present

BRINDLE & BAY FINANCIAL ADVISORS, LLC

Office #1: 5899 Preston Rd Ste. 1103, Frisco, TX 75034

RIA

CRD#: 291747

FRISCO, TX

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".

BRINDLE & BAY FINANCIAL ADVISORS, LLC

BRINDLE & BAY FINANCIAL ADVISORS, LLC | STONEBRIDGE ADVISORY GROUP, LLC

CRD#: 291747 / SEC#: 801-131045

RIA

Registered Investment Advisory firm - (9/3/2024 Approved)

Texas

Registered Investment Advisory firm - (9/3/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(8/2/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/20/2022

Uniform Investment Adviser Law Examination

Current Firm

BRINDLE & BAY FINANCIAL ADVISORS, LLC

BRINDLE & BAY FINANCIAL ADVISORS, LLC | STONEBRIDGE ADVISORY GROUP, LLC

CRD#: 291747 / SEC#: 801-131045

RIA

Registered Investment Advisory firm - (9/3/2024 Approved)

Texas

Registered Investment Advisory firm - (9/3/2024 Terminated)

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Contact information

Main Address

5899 Preston Rd Ste. 1103, Frisco, TX 75034

Mailing Address

Phone number

(214) 988-9178

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE - ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	468
AUM (Assets Under Management)	$ 114,156,212

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.

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Tori C. Ten Hagen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tori Christine Ten Hagen's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRINDLE & BAY FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

BRINDLE & BAY FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/20/2022

Current Firm

BRINDLE & BAY FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRINDLE & BAY FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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