Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
KEVIN DURRELLE HAGGARD
KEVIN DURRELLE HAGGARD SR, KEVIN HAGGARD, Kevin D Haggard
CRD#: 2531072
IA
B
CREDIT UNION INVESTMENT SERVICESCRD#: 144871 9007 Pineville-Matthews Rd
Pineville, NC 28134
Pineville, NC 28134
SECU BROKERAGE SERVICESCRD#: 19899 9007 PINEVILLE-MATTHEWS RD
PINEVILLE, NC 28134
PINEVILLE, NC 28134
View By:
5/20/2009
Customer Dispute
Denied
State Registrations
B
North Carolina 10/29/2024
IA
North Carolina 10/29/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/29/2024
B
Registered with this firm since 10/29/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/04/2022 - 06/11/2024 | CHARLOTTE, NC | |
B | 09/23/2022 - 06/11/2024 | CHARLOTTE, NC | |
IA | 12/21/2018 - 08/10/2022 | Louisville, KY | |
B | 12/25/2018 - 08/10/2022 | Louisville, KY | |
IA | 01/23/2017 - 02/08/2018 | LOUISVILLE, KY | |
B | 01/03/2017 - 02/08/2018 | LOUISVILLE, KY | |
IA | 10/14/2014 - 11/01/2016 | LOUISVILLE, KY | |
B | 10/14/2014 - 11/01/2016 | Louisville, KY | |
IA | 07/25/2013 - 03/28/2014 | LOUISVILLE, KY | |
B | 07/25/2013 - 03/28/2014 | LOUISVILLE, KY | |
IA | 07/16/2012 - 03/01/2013 | LOUISVILLE, KY | |
B | 07/16/2012 - 03/01/2013 | LOUISVILLE, KY | |
IA | 09/26/2011 - 06/28/2012 | CARMEL, IN | |
B | 09/26/2011 - 06/28/2012 | CARMEL, IN | |
B | 11/12/2009 - 10/03/2011 | CRESTWOOD, KY | |
B | 10/05/2006 - 11/05/2008 | LOUISVILLE, KY | |
B | 07/06/2005 - 07/25/2006 | LOUISVILLE, KY | |
B | 04/30/2004 - 07/06/2005 | CHICAGO, IL | |
B | 02/21/1995 - 08/14/1995 | STEVENS POINT, WI | |
B | 09/07/1994 - 12/21/1994 | NEWARK, NJ |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.