Robert W. Haggarty

RWH ASSET MANAGEMENT

Kenosha, WI 53144

Some features on this profile are disabled

CRD#: 1793023

Professional summary

Robert William Haggarty III, who also goes by Robert William III Haggarty, is a registered financial advisor currently at RWH ASSET MANAGEMENT located in Kenosha, Wisconsin.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Robert has worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert William Iii Haggarty

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

R.W. HAGGERTY AND ASSOC. - EXPERT WITNESS; FROM 01/2002. NOT INVESTMENT RELATED. ADDRESS 8330 - 64TH STREET KENOSHA WI 53142 NASD - ARBITRATION/MEDIATION; FROM 12/1999. NOT INVESTMENT RELATED. ADDRESS 8330-64TH STREET, KENOSHA WI 53142 CARTHAGE COLLEGE/GATEWAY TECH COLLEGE - TEACHING ECONOMICS, SOCIOLOGY, PSYCHOLOGY, ETHICS; STARTED 08/2001 NON-INVESTMENT RELATED, KENOSHA WI 53140 (4 HOURS PER WEEK, NOT DURING TRADING HOURS) WGTD - SPORTS COMENTATOR FOR RADIO/TV. STATED 8/2001; NON INVESTMENT RELATED, KENOSHA WISCONSIN 53140 ABOUT 5 HOURS PER WEEK (NOT DURING TRADING HOURS).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert William Haggarty III's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 11, 2013 - Present

RWH ASSET MANAGEMENT

Office #1: 6230 10th Street, Kenosha, WI 53144

RIA

CRD#: 168983

Kenosha, WI

Past

May 27, 2009 - May 1, 2014

PENVEST SECURITIES, INC.

CRD#: 23436

GLENVIEW, IL

Past

January 29, 2008 - May 21, 2009

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036

BLOOMINGTON, IL

Past

September 19, 2006 - December 21, 2007

PENVEST SECURITIES, INC.

CRD#: 23436

KENOSHA, WI

Past

July 17, 1998 - September 15, 2006

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

KENOSHA, WI

Past

January 1, 1997 - July 23, 1998

B. C. ZIEGLER AND COMPANY

CRD#: 61

CHICAGO, IL

Past

February 1, 1988 - October 26, 1988

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(11/11/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/21/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/6/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/24/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/28/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/24/1997

General Securities Principal Examination

Current Firm

RWH ASSET MANAGEMENT

CRD#: 168983 / SEC#:

Wisconsin

Registered Investment Advisory firm - (11/11/2013 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

6230 10th Street, Kenosha, WI 53144

Mailing Address

Phone number

(262) 308-2920

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	20
AUM (Assets Under Management)	$ 2,000,000

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.

Similar Advisors

Cindy Wong

OSAIC WEALTH, INC.

SCOTTSDALE, AZ

Larry Knisley

OSAIC WEALTH, INC.

IAR

Portland, OR

Daniel Hoefer

EDWARD JONES

IAR

Irmo, SC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert W. Haggarty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert William Haggarty III's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENVEST SECURITIES, INC.

STATE FARM VP MANAGEMENT CORP.

PENVEST SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

B. C. ZIEGLER AND COMPANY

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/21/2011

Series 63

Date: 1/6/1997

Series 7

Date: 12/24/1996

Series 6

Date: 1/28/1988

Series 24

Date: 9/24/1997

Current Firm

RWH ASSET MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RWH ASSET MANAGEMENT

TRUST BUT VERIFY

Similar Advisors