Ross O. Haugen
Professional summary
Ross Owen Haugen was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ross is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Ross had worked at 5 firms, which includes FIRST UNION SECURITIES INC., CAPITAL GROWTH FINANCIAL LLC, WELLS FARGO CLEARING SERVICES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2005 - September 5, 2006
FIRST UNION SECURITIES, INC.
November 12, 2003 - August 26, 2004
CAPITAL GROWTH FINANCIAL, LLC
August 1, 2002 - January 19, 2005
CAPITAL GROWTH FINANCIAL, LLC
May 21, 2001 - August 5, 2002
WELLS FARGO CLEARING SERVICES, LLC
May 15, 2001 - August 5, 2002
WELLS FARGO CLEARING SERVICES, LLC
September 5, 1995 - May 30, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 26, 1984 - September 6, 1995
EDWARD JONES
State Registrations and Notice Filings
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Exams
Series 8
Date: 9/27/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST UNION SECURITIES, INC.
CRD#: 129502 / SEC#: , 8-66229
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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