Brett W. Hagen
Professional summary
Brett William Hagen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brett is a previously registered financial professional and started their career in finance in 1975. Prior to being barred, Brett had worked at 6 firms, which includes LOMBARD SECURITIES INCORPORATED, SUNPOINT SECURITIES INC., JOHNSTON LEMON & CO. INCORPORATED, BAKER WATTS & CO. INC., KUHNS BROTHERS & LAIDLAW INC., LAIDLAW MARTIN & MOYSEY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 1999 - March 11, 2014
LOMBARD SECURITIES INCORPORATED
February 5, 1991 - November 19, 1999
SUNPOINT SECURITIES, INC.
October 24, 1988 - February 6, 1991
JOHNSTON, LEMON & CO. INCORPORATED
September 29, 1986 - October 24, 1988
BAKER, WATTS & CO., INC.
April 19, 1982 - October 7, 1986
KUHNS BROTHERS & LAIDLAW, INC.
September 25, 1975 - August 24, 1982
LAIDLAW, MARTIN & MOYSEY, INC.
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 40
Date: 8/9/1977
Registered Principal ExaminationCurrent Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
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.
