Andrew Hauber: March Forward Advisor Faces $97K Complaint

Conshohocken, Pennsylvania financial advisor Andrew Hauber (CRD# 5301283) recently received an investor complaint alleging that he misrepresented an investment. Financial Industry Regulatory Authority records show that he is registered as a broker with DFPG Investments and an advisor with Diversify Advisory Services, doing business as March Forward.

Mr. Hauber’s BrokerCheck report discloses two investor complaints. The most recent, filed in June 2024, alleges that as a representative of DFPG Investments, he misrepresented and recommended an unsuitable annuity. The pending complaint alleges damages of $97,533.21.

An earlier investor complaint, filed in 2008, alleged that as a New England Securities representative, he made misrepresentations regarding a variable annuity contract. The complaint alleged damages of $200,000 and was denied by the firm.

March Forward’s website includes a profile of Mr. Hauber that describes his background and services. “Andrew is an experienced financial planner who spends the majority of his time helping clients navigate the various steps of our planning process,” it explains. “Working tirelessly to help his clients achieve their goals, Andrew personifies goal achievement through accountability.”

Elsewhere, the firm describes its approach to working with its clients. “We created and evolved March because we saw a need in the wealth services industry for real relationships and sophisticated guidance for clients who are willing to commit to it,” it states. “We partner with clients who innovate, who seek to build a legacy, and who will work with us to achieve the right results.”

According to the Financial Industry Regulatory Authority, Andrew Hauber holds 17 years of securities industry experience. Based in Conshohocken, Pennsylvania, he has been registered as a broker with DFPG Investments since 2022 and an advisor with Diversify Advisory Services since 2023, doing business as March Forward. His past registrations include DFPG Investments, Hornor Townsend & Kent, MetLife Securities, and New England Securities. His credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7TO; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Arizona, California, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Illinois, Kentucky, Maine, Maryland, Massachusetts, Nevada, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Texas, and Virginia. (Information current as of September 22, 2024.)

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