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WH

William L. Haase

Some features on this profile are disabled
CRD#: 1125283
WH

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.

William Lewis Haase was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1983. William had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 20, 2024 - December 31, 2025

365 WEALTH MANAGEMENT GROUP

RIA
CRD#: 314674
MASON, OH
Past

May 21, 2021 - December 31, 2023

365 WEALTH MANAGEMENT GROUP

RIA
CRD#: 314674
Cincinnati, OH
Past

October 23, 2007 - June 15, 2021

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
CINCINNATI, OH
Past

October 18, 2007 - June 15, 2021

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
CINCINNATI, OH
Past

October 12, 2007 - October 16, 2007

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
CINCINNATI, OH
Past

July 1, 2003 - October 12, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CINCINNATI, OH
Past

July 1, 2003 - October 12, 2007

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CINCINNATI, OH
Past

September 12, 1999 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
CINCINNATI, OH
Past

June 23, 1999 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

August 11, 1995 - June 1, 1999

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CINCINNATI, OH
Past

July 31, 1993 - August 23, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 21, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

May 23, 1983 - January 16, 1992

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
3W
365 WEALTH MANAGEMENT GROUP
365 WEALTH MANAGEMENT GROUP | AXECAP INVESTMENTS, LLC

CRD#: 314674 / SEC#: 801-126521

RIA
Registered Investment Advisory firm - (9/7/2022 Approved)
Ohio
Registered Investment Advisory firm - (12/31/2023 Failure to Renew)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/13/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/16/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/3/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/21/1991
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/9/1983
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/3/2022
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/3/2022
General Securities Sales Supervisor - Options Module Examination

Current Firm

3W
365 WEALTH MANAGEMENT GROUP
365 WEALTH MANAGEMENT GROUP | AXECAP INVESTMENTS, LLC

CRD#: 314674 / SEC#: 801-126521

RIA
Registered Investment Advisory firm - (9/7/2022 Approved)
Ohio
Registered Investment Advisory firm - (12/31/2023 Failure to Renew)
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Contact information

Main Address
5770 Gateway Blvd Suite 102, Mason, OH 45040
Mailing Address
Phone number
(513) 880-0002
Established
Firm type
Fiscal year end
# of Employees
8

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

365 WMG ADV 2A 2025 (4/28/2025)

Regulatory assets under management

Total Number of Accounts1,046
AUM (Assets Under Management)$ 183,182,460

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.

Company Information

365 WEALTH MANAGEMENT GROUP

CRD#: 314674

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Contact information

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