Christopher John Hausman (CRD #6225634) Has a Regulatory Disclosure on FINRA BrokerCheck
Christopher John Hausman (CRD #6225634) was previously registered as a broker. We reviewed his FINRA BrokerCheck report on February 18, 2026. It reflects one regulatory event. If you invested with Christopher Hausman and have concerns, keep reading.
BrokerCheck link: BrokerCheck
BrokerCheck report: BrokerCheck Report (PDF)
Investor Disputes / Customer Complaints
Christopher Hausman’s FINRA BrokerCheck Report reflects one regulatory event disclosure. A summary of the event is below:
On December 1, 2025, South Dakota initiated a regulatory action that listed allegations of misrepresentation of affiliation. The matter was reported as settled on December 1, 2025. FINRA BrokerCheck lists the product types as fixed and variable annuities. The disclosure also lists Educators Retirement Planning LLC as the firm where the activity occurred. The sanctions ordered included a $5,000 civil and administrative fine.
Rule Summary #1: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)
FINRA Rule 2010 requires member firms and associated persons to observe high standards of commercial honor. Misrepresentation issues can raise questions about whether those standards were met. Clear disclosures and accurate descriptions help investors understand who they are dealing with.
Rule Summary #2: FINRA Rule 2210 (Communications with the Public)
FINRA Rule 2210 sets standards for communications with the public. Communications must be fair and balanced, and they cannot be misleading. When an affiliation is misstated, investors may rely on information that is not accurate.
Why This Matters to Investors (Regulation Best Interest)
Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.
Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.
Reg BI has four key obligations:
- Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.
- Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.
- Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.
- Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.
Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.
Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.
Background Information (from BrokerCheck)
Based on His FINRA BrokerCheck report, Warren Kim:
Based on his FINRA BrokerCheck report, Christopher Hausman:
Is not currently registered.
Has passed the Securities Industry Essentials (SIE) exam. He has also passed Series 6 and Series 63.
Was previously registered with Allstate Financial Services, LLC.
If you have worked with Warren Kim and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. You can read more about potential claims and investor protections here: Variable Annuities and Unsuitable Investments. To speak with Kurta Law, call (866) 469-4529 or email info@kurtalawfirm.com.
If you have worked with Christopher Hausman and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.
Helpful Resources: Misrepresentation and Omission | Securities Attorney
For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.