Bonnie M. Haupt

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CRD#: 1254440

Professional summary

Bonnie Mae Haupt was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Bonnie is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Bonnie had worked at 3 firms, which includes GILDER GAGNON HOWE & CO. LLC, CITIGROUP GLOBAL MARKETS INC., LADENBURG THALMANN & CO. INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Bonnie M Haupt

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

October 28, 1992 - January 3, 2019

GILDER GAGNON HOWE & CO. LLC

CRD#: 2002

NEW YORK, NY

Past

August 17, 1992 - October 16, 1992

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 5, 1991 - July 29, 1992

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

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".

GILDER GAGNON HOWE & CO. LLC

GGHC | GILDER, GAGNON & CO., INC. | GILDER, GAGNON & CO. | GILDER GAGNON HOWE & CO. LLC | GILDER GAGNON HOWE & CO

CRD#: 2002 / SEC#: 801-65667, 8-30196

RIA

Registered Investment Advisory firm - SEC (1/27/2006 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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.

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

Series 63

Date: 9/20/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/3/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 4/5/2011

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 12/15/2008

Registered Options Principal Examination

Principal/Supervisory Exam

Series 23

Date: 2/8/2008

General Securities Principal Sales Supervisor

Principal/Supervisory Exam

Series 9

Date: 8/7/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 7/1/2003

General Securities Sales Supervisor - General Module Examination

Current Firm

GILDER GAGNON HOWE & CO. LLC

GGHC | GILDER, GAGNON & CO., INC. | GILDER, GAGNON & CO. | GILDER GAGNON HOWE & CO. LLC | GILDER GAGNON HOWE & CO

CRD#: 2002 / SEC#: 801-65667, 8-30196

RIA

Registered Investment Advisory firm - SEC (1/27/2006 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

475 Tenth Avenue 12th Floor, New York, NY 10018-1120

Mailing Address

475 Tenth Avenue, New York, NY 10018

Phone number

(212) 765-2500

Established

New York since 01/04/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GGHC FORM ADV PART 2A (3/24/2025)

GGHC FORM ADV PART 2A WRAP FEE PROGRAM BROCHURE (3/24/2025)

Direct owners and executive officers

Name	Position	CRD#
HOWE, DAVID STEWART	MANAGING MEMBER	812707
RIZAVI, SHAIZA MARIAM	CHIEF EXECUTIVE OFFICER / MANAGING MEMBER	2874858
ANDERSON, TRAVIS KNAPP	MANAGING MEMBER	853424
DEUTSCH, JAMES MICHAEL	CHIEF EXECUTIVE OFFICER/MANAGING MEMBER	4565264
MCCORMICK, MICHAEL PATRICK	MEMBER	1857693
ALI, SHAFQAT	CHIEF INFORMATION SECURITY OFFICER/MEMBER	6009773
ESPOSITO, LAURA MICHELE	CHIEF COMPLIANCE OFFICER	6727167
HUYNH, DAVID CO	CHIEF FINANCIAL OFFICER	5443515

Regulatory assets under management

Total Number of Accounts	8,767
AUM (Assets Under Management)	$ 11,604,602,601

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
09/20/2024	Cover Page	Report
11/10/2023	Cover Page	Report
12/15/2022	Cover Page	Report

Red Flags

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Bonnie M. Haupt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

LADENBURG THALMANN & CO. INC.

Primary Firm SEC Registration

GILDER GAGNON HOWE & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/20/1991

SIE

Date: 10/1/2018

Series 7

Date: 9/3/1991

Series 14

Date: 4/5/2011

Series 4

Date: 12/15/2008

Series 23

Date: 2/8/2008

Series 9

Date: 8/7/2003

Series 10

Date: 7/1/2003

Current Firm

GILDER GAGNON HOWE & CO. LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

GILDER GAGNON HOWE & CO. LLC

TRUST BUT VERIFY

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