Dean J. Haaland
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.
Dean Jay Haaland was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1984. Dean had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 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
September 30, 2020 - March 26, 2021
KESTRA ADVISORY SERVICES, LLC
September 30, 2020 - March 26, 2021
KESTRA INVESTMENT SERVICES, LLC
June 4, 2008 - October 8, 2020
LPL FINANCIAL LLC
June 4, 2008 - October 8, 2020
LPL FINANCIAL LLC
March 28, 2005 - June 5, 2008
PRINCIPAL SECURITIES, INC.
October 29, 2004 - June 5, 2008
PRINCIPAL SECURITIES, INC.
November 6, 2000 - November 2, 2004
SII INVESTMENTS, INC.
April 29, 1992 - November 20, 2000
STANTON INVESTMENT SERVICES, INC.
January 6, 1992 - May 4, 1992
NORTHERN TRUST SECURITIES, INC.
March 13, 1990 - January 14, 1992
INVEST FINANCIAL CORPORATION
June 22, 1984 - March 14, 1990
METROPOLITAN LIFE INSURANCE COMPANY
June 22, 1984 - March 14, 1990
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
