James W. Haas
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.
James Wesley Haas JR, who also goes by James Wesley Haas, Jim Haas, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 7 firms and has passed the Series 63, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 1999 - October 12, 2001
LEGACY FINANCIAL SERVICES, INC.
May 14, 1997 - June 27, 1997
AVANTAX INVESTMENT SERVICES, INC.
July 27, 1989 - December 20, 1993
DOMINION CAPITAL CORPORATION
February 2, 1989 - August 10, 1989
EDWARD JONES
October 18, 1988 - February 7, 1989
CULLUM & SANDOW SECURITIES, INC.
October 28, 1986 - October 1, 1988
THOMSON MCKINNON SECURITIES INC.
July 23, 1986 - November 3, 1986
BLINDER, ROBINSON & CO., INC.
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
LEGACY FINANCIAL SERVICES, INC.
CRD#: 38697 / SEC#: , 8-48360
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
