Glen HaddockCRD Number: 1141515
Current Firm: Resource Investment Architects, Inc.
Glen Haddock (CRD# 1141515) is an Investment Advisor Representative working at Resource Investment Architects, Inc. in Petaluma, CA and has over 33 years of experience in the finance industry. Glen Haddock has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Polaris Greystone Financial Group, LLC
Taddei, Ludwig & Associates, Inc.
Ameriprise Financial Services, Inc.
|Resource Investment Architects, Inc.||Petaluma, CA||Oct 1989 - Current||27|
|Investment Architects, Inc.||Petaluma, CA||May 1987 - Current||29|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1983|
|S65||NASAA Investment Advisors Law Examination||Jul 1999|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Regulatory Event
Total Assets Under Management181MILLIONS
Total Number of Accounts651ACCOUNTS
Average Account Value$277,636
- A percentage of assets under your management
- Hourly charges
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
AZ, CA, FL, NV, OR, TX, UT, WA