Bert R. Haspel
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.
Bert R Haspel, who also goes by Bert R Haspel, Berthold R Haspel, was a registered financial professional .
Bert is a previously registered financial professional and started their career in finance in 1985. Bert had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2012 - September 6, 2023
J.P. MORGAN SECURITIES LLC
October 1, 2012 - September 6, 2023
J.P. MORGAN SECURITIES LLC
November 16, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 16, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 24, 2006 - November 8, 2006
WEBSTER INVESTMENT SERVICES, INC.
October 20, 2006 - November 8, 2006
WEBSTER INVESTMENT SERVICES, INC.
June 26, 2006 - October 18, 2006
HSBC SECURITIES (USA) INC.
January 1, 2005 - October 18, 2006
HSBC SECURITIES (USA) INC.
December 12, 2003 - January 1, 2005
HSBC BROKERAGE (USA) INC.
July 17, 1998 - December 4, 2003
CHASE INVESTMENT SERVICES CORP.
August 21, 1996 - December 4, 2003
CHASE INVESTMENT SERVICES CORP.
February 1, 1995 - August 21, 1996
FISERV INVESTOR SERVICES, INC.
April 23, 1991 - February 1, 1995
CAPITAL BROKERAGE CORPORATION
February 21, 1991 - May 7, 1991
GRIFFIN FINANCIAL SERVICES
May 23, 1990 - January 25, 1991
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 27, 1989 - May 21, 1990
WAMU INVESTMENTS, INC.
July 5, 1985 - June 8, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
