Robert K. Haley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Kenneth Haley, AIF®, CFP®, who also goes by Bob Haley, R K Haley, Robert K Haley, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1989
Experience
October 29, 2010 - November 19, 2021
ADVANCED WEALTH MANAGEMENT
March 6, 2003 - April 8, 2024
COMMONWEALTH FINANCIAL NETWORK
August 16, 1999 - April 8, 2024
COMMONWEALTH FINANCIAL NETWORK
October 30, 1989 - August 16, 1999
ADVANTAGE CAPITAL CORPORATION
March 23, 1989 - November 25, 1989
LEHMAN BROTHERS INC.
August 16, 1982 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
August 16, 1982 - February 28, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ADVANCED WEALTH MANAGEMENT
CRD#: 155249 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
