Steven Hayden Hafner

Current Employers

Employment History

• 02/2015 → 06/2020
  Ubs Financial Services Inc.
  Sandusky, OH
• 06/2020 → Present
  Kestra Investment Services
  Toledo, OH
• 06/2020 → Present
  Kestra Private Wealth Services
  Toledo, OH

Previous Registrations

• 2015-03-17 → 2020-07-09
  Ubs Financial Services Inc.
  Sylvania, OH
  Sandusky, OH
• 2011-07-05 → 2015-02-23
  Lpl Financial Llc
  Sandusky, OH
  Sandusky, OH
• 2003-11-19 → 2011-07-05
  Uvest Financial Services Group, Inc.
  Norwalk, OH
  Sandusky, OH
  Sandusky, OH
  Sandusky, OH
  Sandusky, OH
  Sandusky, OH
• 2003-02-10 → 2003-11-17
  Mid Atlantic Financial Management, Inc.
  Sandusky, OH

Other Businesses

Name: FSB PROPERTIES LLC POSITION: Sole owner 100% NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 03/01/1985 ADDRESS: c/o Steven Hafner, 4218 Windham Place S., Sandusky OH 44870 DESCRIPTION: Collect monthly rent, pay bills, upkeep of property Name: 1)True Alpha Wealth Management dba Investment Related: Yes Address: Timber Commons Drive Sandusky OH 44870 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through an independent outside RIA Position, Title or Relationship: managing partner Start Date: 6/30/2020 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: new business, servicing existing business, assist in driving True Alpha growth Name: Catholic Charities of Erie County, Ohio Investment Related: No Address: 428 Tiffin Avenue Sandusky OH 44870 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Board member Start Date: 2/1/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: attend monthly board meetings Name: Serving Our Seniors of Erie County, Ohio Investment Related: No Address: 310 E. Boalt Street Sandusky OH 44870 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Member of Board of Directors Member of Finance Committee Start Date: 2/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Monthly Board meetings and Monthly Finance Committee meetings Name: SHH INVESTMENTS LLC POSITION: Sole Member NATURE: Single Member LLC set up to run my Kestra revenue through and pay business related expenses INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 10/20/2023 ADDRESS: 4218 Windham Place S., Sandusky OH 44870 DESCRIPTION: I move my revenue into the SHH Investments business account, and pay expenses from it.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-06-20
• S63 Uniform Securities Agent State Law Examination
  1997-06-05

Other Names

• Steven Hayden Hafner
• Steven Hayden Hafner