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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)31 years in industry

ANNE GOODRICH HAGAN

Advisor at SPC

NAPLES, FL | ANN ARBOR, MI

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 18, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SPC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 17, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Nov 17, 1994
First registration: Oct 18, 2001
Dual registered: yes, broker-dealer
Other names: ANNE ADELE GOODRICH
IAPD individual key: 1603564

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
Spc	Bd affiliated wealth	Dec 8, 2009	n/a	yes	NAPLES, FL\|ANN ARBOR, MI	Current employment
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Jan 16, 2007	Nov 18, 2009	no	BONITA SPRINGS, FL\|FORT MYERS, FL\|FORT MYERS, FL\|NAPLES, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 21, 2006	Jan 25, 2007	no	RALEIGH, NC\|NEW YORK, NY\|RALEIGH, NC	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	Oct 18, 2001	Feb 21, 2006	no	RALEIGH, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN KEEGAN & COMPANY, LLC	Spc	Nov 18, 2009	Dec 8, 2009	20	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN KEEGAN & COMPANY, LLC	Jan 25, 2007	Jan 16, 2007	-9	Firm change	Other
LEGG MASON WOOD WALKER, INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Feb 21, 2006	Feb 21, 2006	0	Bulk transfer	Other

Relationships

Registered with (4)

→ SPCRegistered adviserregistration: current employment
Dec 8, 2009 to presentfactForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Jan 16, 2007 to Nov 18, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 21, 2006 to Jan 25, 2007factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
Oct 18, 2001 to Feb 21, 2006factForm ADV

Dated events

No dated event names this entity yet.