Compliance

Disclosures

The regulatory relationships, registrations, and required disclosures behind Wealth Audits Inc.

Broker-Dealer & Investment Advisory

Securities offered through Kestra Investment Services, LLC (Kestra IS), member FINRA/SIPC. Investment Advisory Services offered through Kestra Advisory Services, LLC (Kestra AS), an affiliate of Kestra IS. Hagendorf & Havell / Wealth Audits Inc. is not affiliated with Kestra IS or Kestra AS. Check the background of your financial professional on FINRA's BrokerCheck.

Residency

This site is published for residents of the United States only. Registered Representatives of Kestra IS and Investment Advisor Representatives of Kestra AS may only conduct business with residents of the states and jurisdictions in which they are properly registered. Therefore, a response to a request for information may be delayed. Not all products and services referenced on this site are available in every state and through every representative or advisor listed. For additional information, please contact our Compliance Department at 844-5-KESTRA (844-553-7872). The web site links referenced are being provided strictly as a courtesy. Neither us, nor Kestra IS or Kestra AS are liable for any direct or indirect technical or system issues or any consequences arising out of your access to or your use of the links provided.

Check Our Background

BrokerCheck is a free tool from FINRA that lets you research the background, registrations, licensing, and history of financial professionals and firms.

Visit FINRA BrokerCheck →

Regulatory Resources

  • FINRA — the Financial Industry Regulatory Authority, which oversees broker-dealers in the United States.
  • SIPC — the Securities Investor Protection Corporation, which protects customers of member broker-dealers within its coverage limits.

Firm Documents

  • Form CRS and Form ADV Part 2A are available upon request — call (631) 273-1000 or ask your advisor.

These documents will be posted here once available. In the meantime, you may request a copy by calling (631) 273-1000.

Stay Informed

Occasional educational updates from the Wealth Audits team. No sales pitches. Unsubscribe anytime.

Securities offered through Kestra Investment Services, LLC (Kestra IS), member FINRA/SIPC. Investment Advisory Services offered through Kestra Advisory Services, LLC (Kestra AS), an affiliate of Kestra IS. Hagendorf & Havell / Wealth Audits Inc. is not affiliated with Kestra IS or Kestra AS. Check the background of your financial professional on FINRA's BrokerCheck.

This site is published for residents of the United States only. Registered Representatives of Kestra IS and Investment Advisor Representatives of Kestra AS may only conduct business with residents of the states and jurisdictions in which they are properly registered. Therefore, a response to a request for information may be delayed. Not all products and services referenced on this site are available in every state and through every representative or advisor listed. For additional information, please contact our Compliance Department at 844-5-KESTRA (844-553-7872). The web site links referenced are being provided strictly as a courtesy. Neither us, nor Kestra IS or Kestra AS are liable for any direct or indirect technical or system issues or any consequences arising out of your access to or your use of the links provided.

© 2026 Wealth Audits Inc.
Disclosures