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NH

Neil R. Hause

PINE DISTRIBUTORS LLC
Denver, CO 80246
Some features on this profile are disabled
CRD#: 1241527
NH

Professional summary

Neil Robert Hause is a registered financial professional currently at PINE DISTRIBUTORS LLC located in Denver, Colorado.

Neil is registered as a RR (Registered Representative) and started their career in finance in 1984. Neil has worked at 7 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

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) - BD

Click below to view Neil Robert Hause's 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

July 2, 2025 - Present

PINE DISTRIBUTORS LLC

Office #1: 501 S. Cherry Street Suite 610, Denver, CO 80246
BD
CRD#: 323408
Denver, CO
Past

April 21, 1998 - July 9, 2021

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

December 1, 1997 - April 9, 1998

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

January 9, 1993 - December 1, 1997

FORTH FINANCIAL SECURITIES, CORPORATION

BD
CRD#: 14363
RICHMOND, VA
Past

October 3, 1991 - December 18, 1992

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

November 3, 1989 - October 7, 1991

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

March 23, 1984 - November 8, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(7/9/2025)
RR
Alaska
(7/15/2025)
RR
Arizona
(7/10/2025)
RR
Arkansas
(8/11/2025)
RR
California
(7/11/2025)
RR
Colorado
(7/7/2025)
RR
Connecticut
(7/2/2025)
RR
Delaware
(7/7/2025)
RR
District of Columbia
(7/9/2025)
RR
Florida
(7/2/2025)
RR
Georgia
(8/4/2025)
RR
Hawaii
(7/14/2025)
RR
Idaho
(7/8/2025)
RR
Illinois
(7/2/2025)
RR
Indiana
(7/9/2025)
RR
Iowa
(7/11/2025)
RR
Kansas
(7/7/2025)
RR
Kentucky
(7/2/2025)
RR
Louisiana
(7/7/2025)
RR
Maine
(7/8/2025)
RR
Maryland
(7/11/2025)
RR
Massachusetts
(7/2/2025)
RR
Michigan
(7/2/2025)
RR
Minnesota
(7/2/2025)
RR
Mississippi
(7/2/2025)
RR
Missouri
(7/2/2025)
RR
Montana
(7/2/2025)
RR
Nebraska
(7/2/2025)
RR
Nevada
(7/7/2025)
RR
New Hampshire
(7/7/2025)
RR
New Jersey
(7/2/2025)
RR
New Mexico
(7/8/2025)
RR
North Carolina
(7/7/2025)
RR
North Dakota
(7/7/2025)
RR
Ohio
(7/2/2025)
RR
Oklahoma
(7/2/2025)
RR
Oregon
(7/15/2025)
RR
Pennsylvania
(7/3/2025)
RR
Puerto Rico
(7/22/2025)
RR
Rhode Island
(7/10/2025)
RR
South Carolina
(7/2/2025)
RR
South Dakota
(7/7/2025)
RR
Tennessee
(7/7/2025)
RR
Texas
(7/2/2025)
RR
Utah
(7/3/2025)
RR
Vermont
(7/7/2025)
RR
Virgin Islands
(7/15/2025)
RR
Virginia
(7/7/2025)
RR
Washington
(7/7/2025)
RR
West Virginia
(7/9/2025)
RR
Wisconsin
(7/2/2025)
RR
Wyoming
(7/7/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/10/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/21/2024
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: 3/17/1984
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PD
PINE DISTRIBUTORS LLC
PINE DISTRIBUTORS LLC

CRD#: 323408 / SEC#: , 8-71004

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
501 S. Cherry Street Suite 610, Denver, CO 80246
Mailing Address
501 S. Cherry Street Suite 610, Denver, CO 80246
Phone number
(720) 651-8092
Established
Delaware since 08/30/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PINE ADVISOR SOLUTIONS LLCMEMBER
FAIRBANKS, MARK ALANPRESIDENT1847318
LEVESQUE, DARYNCOO6482085
MOSCARITOLO, SUSAN KALLAICCO2618909
WAGSTAFF, CONNER FRED IIIFINOP1427591
WOODCOCK, ALEXANDER JAMESPFO6454017

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

PINE DISTRIBUTORS LLC

CRD#: 323408Denver, CO 80246

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