John P. Haase
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.
John Peter Haase was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 4 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 1987 - February 23, 1989
PENNINGTON/BASS EQUITIES, INC.
March 5, 1986 - August 1, 1989
NEW ENGLAND SECURITIES
June 4, 1985 - November 25, 1985
THE ADVISORS GROUP, INC.
August 24, 1983 - June 24, 1985
SOURCE SECURITIES, INC.
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
PENNINGTON/BASS EQUITIES, INC.
CRD#: 13765 / SEC#: , 8-29772
Contact information
Documents
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.
