Howard L. Hassen
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.
Howard Lough Hassen was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1976. Howard had worked at 4 firms and has passed the Series 63, Series 15, Series 5, Series 7, Series 12, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2012 - November 18, 2013
OLD MUTUAL INVESTMENT PARTNERS
July 29, 2002 - June 29, 2011
MORGAN STANLEY DISTRIBUTION, INC.
November 28, 1997 - May 10, 2001
CITIGROUP GLOBAL MARKETS INC.
March 1, 1976 - September 1, 1998
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 12/1/1982
Foreign Currency Options ExaminationSeries 5
Date: 4/8/1982
Interest Rate Options ExaminationSeries 12
Date: 5/4/1985
NYSE Branch Manager ExaminationSeries 40
Date: 10/30/1978
Registered Principal ExaminationCurrent Firm
OLD MUTUAL INVESTMENT PARTNERS
CRD#: 44916 / SEC#: , 8-50875
Contact information
Documents
Red Flags
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