Unclaimed Profile

Trudy Diane Haussmann

HAUSSMANN FINANCIAL INC.·LAKE FOREST, California

SIE, Series 7, Series 24, Series 63, Series 99TOCFP29 years registeredHAUSSMANN FINANCIAL INC.

23201 LAKE CENTER DRIVE, LAKE FOREST, CA 92630CRD# 1596890Firm CRD# 110747

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Trudy Diane Haussmann · LAKE FOREST, CA

Registration

CRD #1596890 · HAUSSMANN FINANCIAL INC. · 29 years registered

Brand Profile

Not yet started

Career History

LPL FINANCIAL LLC

Feb 2025 – present

HAUSSMANN FINANCIAL INC.

Feb 1997 – Apr 2025

Lake Forest, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 99TO

Registration record

First registered · February 11, 1997

Years registered · 29

Professional designation · CFP

Disclosure History

2003Customer Dispute·Denied

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

HAUSSMANN FINANCIAL INC.

CRD 110747 · SEC 801-72313

AUM

$779M

Regulatory assets under management

Employees

2,216 client accounts

Services offered by HAUSSMANN FINANCIAL INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at HAUSSMANN FINANCIAL INC. →

Introduction

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Frequently Asked Questions

What services does Trudy Diane Haussmann offer?

Trudy Diane Haussmann specializes in Financial Planning, Investment Management. Contact their office in LAKE FOREST, California for a consultation.

What are Trudy Diane Haussmann's credentials?

Trudy Diane Haussmann holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Trudy Diane Haussmann located?

Trudy Diane Haussmann is based in LAKE FOREST, California, working with HAUSSMANN FINANCIAL INC.. Their office serves clients in the LAKE FOREST metropolitan area and surrounding communities.

How does Trudy Diane Haussmann charge for services?

Trudy Diane Haussmann's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is HAUSSMANN FINANCIAL INC.?

HAUSSMANN FINANCIAL INC. has approximately 8 employees and manages $779M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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