William L. Haase

365 WEALTH MANAGEMENT GROUP

Mason, OH 45040

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CRD#: 1125283

Professional summary

William Lewis Haase is a registered financial advisor currently at 365 WEALTH MANAGEMENT GROUP located in Mason, Ohio.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. William has 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"?

Yes

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.

SAINT THERESE HAASE, NOT INVESTMENT RELATED, CINCINNATI, OH, LEADER/TRUMPET PLAYER, START 5/24/2013, 6 HRS PER MONTH/0 DURING TRADING, PERFORMING BRASS QUINTET ORGANIZE BOOKINGS AND PERFORM AT CHURCHES & RETIREMENT HOMES. WILLIAM L. HAASE LLC, INV RELATED, CINCINNATI, OH, 100% OWNERSHIP, START 12/1/2009, ZERO HOURS PER MONTH, ZERO DURING TRADING, FINET PERSONAL ACCOUNT FOR MARKETING EXPENSES. MONTGOMERY FINANCIAL MANAGEMENT LLC, INV RELATED, CINCINNATI, OH, 100% OWNERSHIP, START 6/1/2007, 40 HOURS PER MONTH, 40 HOURS DURING TRADING, FINET PRACTICE FOR OFFICE EXPENSES. 365 WEALTH MANAGEMENT GROUP LLC, INV RELATED, CINCINNATI, OH, 100% OWNERSHIP, START 11/1/2018, ZERO HOURS PER MONTH, ZERO DURING TRADING, FINET PRACTICE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Lewis Haase's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 20, 2024 - Present

365 WEALTH MANAGEMENT GROUP

Office #1: 5770 Gateway Blvd Suite 102, Mason, OH 45040

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

CRD#: 11025

CINCINNATI, OH

Past

October 12, 2007 - October 16, 2007

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

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

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

CRD#: 7471

NEW YORK, NY

Past

August 11, 1995 - June 1, 1999

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

July 31, 1993 - August 23, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 21, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 23, 1983 - January 16, 1992

PRUCO SECURITIES, LLC.

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".

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(5/20/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/13/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/16/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/3/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/1991

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/9/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/3/2022

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/3/2022

General Securities Sales Supervisor - Options Module Examination

Current Firm

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

SEC notice filing (6 States and Territories)

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 Accounts	1,046
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.

Contact information

xxxxx@xxxx.xxx

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William L. Haase

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Lewis Haase's CRS (Customer Relationship Summary).

Certified licenses

Experience

365 WEALTH MANAGEMENT GROUP

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

FIFTH THIRD SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

365 WEALTH MANAGEMENT GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 7/13/1999

Series 63

Date: 1/16/1992

Series 7TO

Date: 12/3/2022

SIE

Date: 10/1/2018

Series 7

Date: 12/21/1991

Series 6

Date: 5/9/1983

Series 10

Date: 12/3/2022

Series 9

Date: 12/3/2022

Current Firm

365 WEALTH MANAGEMENT GROUP

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

365 WEALTH MANAGEMENT GROUP

TRUST BUT VERIFY

Contact information

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