Brookfield, Wisconsin financial advisor Peter Glowacki (CRD# 1180975) was recently sanctioned in connection with allegations that he exercised discretion without...
Read MoreDick Hagan: $400K Complaint Against MassMutual Advisor
Wauwatosa, Wisconsin financial advisor Dick Hagan (CRD# 2392157) allegedly made an unauthorized transaction, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, or MassMutual.
Mr. Hagan’s BrokerCheck report discloses one investor complaint. Filed in May 2024, it alleges that as a representative of MML Investors Services, he misrepresented an investment in an unsuitable whole life insurance policy and made an unauthorized purchase of an EIA fixed annuity. The pending complaint alleges damages of $400,000.
MassMutual’s website includes a profile of Mr. Hagan that describes his philosophy and services, including long-term care insurance, education funding strategies, wealth management, and charitable giving strategies. “My goal is to provide families and business owners with assistance in building their financial freedom,” it states. “I have the skills, knowledge and experience required to help meet my client’s established goals. My personal goal is to become a lifetime resource for each and every client.”
According to the Financial Industry Regulatory Authority, Dick Hagan holds 30 years of securities industry experience. Based in Wauwatosa, Wisconsin, he has been registered as a broker and an investment advisor with MML Investors Services since 2017. His registration history includes MSI Financial Services (Milwaukee, Wisconsin; 2015-2017), New England Securities (Brookfield, Wisconsin; 2002-2015), WMA Securities (Duluth, Georgia; 1994-2002), and InterSecurities (St. Petersburg, Florida; 1993-1994). His credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Principal Examination, or Series 26; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in Arizona, California, Colorado, Florida, Illinois, Kansas, Nevada, Texas, and Wisconsin. (Information current as of June 8, 2024.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.
