Dave Hauer Email & Phone Number

Scottsdale, Arizona

I am responsible for managing the enforcement of the Firm’s policies and procedures and immediate oversight of the Compliance Analysts. I must ensure the effective monitoring of the Firm’s registered representative’s business practices through active surveillance, reporting and office exams. I am knowledgeable of Industry and Firm regulations and am able to convey these regulations in a professional and articulate manner to the Firm’s internal employees, Senior Management and registered representatives. I am acutely aware of a broad array of industry regulations and with that knowledge, help design and implement Firm policies and procedures designed to ensure the integrity of the Firm and its Registered Representatives.

2008 - 2012 SagePoint Financial Inc.Director of Supervision/Field Supervision- Lead and Support Regional Supervision Manager (RSM) staff- Resolve escalated issues regarding suitability, trading, technical, etc.- Advise and Educate on all new Compliance bulletins, policies, IT enhancements, etc.- Quality Assurance on RSM supervision of OSJ’s trades in Transaction Review System (TRS) and Surveillance reports- Coordinate with Compliance to complete Regulatory Audit Requests- Run reports for violations of the firm’s Proceeds, Mark Up/Down, Trading Ahead and 403(b) policies and make corrections.2006 - 2008 AIG Financial AdvisorsRegional Supervision Manager – Northeastern Region/Field Supervision Department- Email Supervision for all OSJ’s in NE region- Relationship management for 42 OSJ’s- In charge of helping OSJ’s transition their business to the firm.- Supervision of all OSJ’s trades (stock, bond, mutual fund, etc.)-Senior Registered Options Principal (SROP) – reported to FINRA as an officer of the company2005 - 2006 AIG Financial AdvisorsTrade Specialist/Field Supervision Department- Pre-approval of 1035 exchanges, REIT’s and 1031 business.-Registered Options Principal for the Regional Management Department.2003 - 2005 SunAmerica SecuritiesTrade Specialist/Trading Department- Generated $5.6 million of new sales in New Issue Closed End Funds from October 2004 to February 2005. This was an increase of 150% over the previous 5 months.- Successfully built and managed relationships with over 100 Registered Reps.- Review accounts for suitability in Options Trading.1999 - 2003 SunAmerica SecuritiesTrading Assistant- Improved turnaround time for ACH and Systematic processing from 4 days to 1.- Reviewed and approved electronic trades.- Multi tasking and Problem Solving on Mutual Fund Rejects.