Howard M. Hafetz
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.
Howard Miles Hafetz was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1984. Howard had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2017 - April 2, 2019
IAMS WEALTH MANAGEMENT, LLC
May 4, 2015 - December 2, 2015
REGAL INVESTMENT ADVISORS LLC
January 16, 2014 - March 13, 2015
INNOVATION PARTNERS LLC
January 15, 2014 - March 13, 2015
INNOVATION PARTNERS LLC
January 10, 2012 - January 14, 2014
CREATIVEONE SECURITIES, LLC
January 9, 2012 - January 14, 2014
CREATIVEONE SECURITIES, LLC
March 21, 2011 - January 12, 2012
MML INVESTORS SERVICES, LLC
March 21, 2011 - January 12, 2012
MML INVESTORS SERVICES, LLC
October 25, 2006 - July 13, 2009
NEW ENGLAND SECURITIES
February 16, 2006 - July 13, 2009
NEW ENGLAND SECURITIES
October 22, 2001 - January 12, 2004
MML INVESTORS SERVICES, LLC
September 5, 2001 - January 12, 2004
MML INVESTORS SERVICES, LLC
March 14, 1997 - August 16, 2001
EQUITY SERVICES, INC.
August 14, 1996 - October 29, 1996
INTERLINK SECURITIES CORP.
July 30, 1993 - May 10, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 30, 1993 - May 10, 1996
SIGNATOR INVESTORS, INC.
June 13, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
June 13, 1988 - June 19, 1992
MONY SECURITIES CORPORATION
November 5, 1987 - June 6, 1988
AETNA LIFE INSURANCE AND ANNUITY COMPANY
May 4, 1984 - March 6, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
May 4, 1984 - March 7, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
IAMS WEALTH MANAGEMENT, LLC
CRD#: 286085 / SEC#: 801-108875
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
IAMS WEALTH MANAGEMENT, LLC
CRD#: 286085 / SEC#: 801-108875
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,104 |
| AUM (Assets Under Management) | $ 343,012,390 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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