Kurt E. Haake
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.
Kurt Edward Haake, who also goes by Kurt E Haake, was a registered financial professional .
Kurt is a previously registered financial professional and started their career in finance in 1988. Kurt had worked at 10 firms and has passed the Series 66, Series 63 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
October 5, 2010 - September 10, 2013
PHORCYS CAPITAL PARTNERS, LLC
October 4, 2010 - September 10, 2013
FIRST SOUTHERN SECURITIES, LLC.
February 7, 2008 - November 6, 2008
LPL FINANCIAL LLC
February 5, 2008 - November 6, 2008
LPL FINANCIAL LLC
May 14, 2007 - February 7, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
May 4, 2007 - February 7, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
May 30, 2006 - January 22, 2007
ALLSTATE FINANCIAL SERVICES, LLC
April 21, 2005 - May 3, 2006
WELLS FARGO CLEARING SERVICES, LLC
April 19, 2005 - May 3, 2006
WELLS FARGO CLEARING SERVICES, LLC
May 3, 2004 - April 25, 2005
VALIC FINANCIAL ADVISORS, INC.
June 5, 2003 - April 25, 2005
VALIC FINANCIAL ADVISORS, INC.
August 14, 2001 - May 16, 2003
E*TRADE SECURITIES LLC
March 22, 1988 - January 24, 1989
ROBERT W. BAIRD & CO. INCORPORATED
March 22, 1988 - January 24, 1989
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
PHORCYS CAPITAL PARTNERS, LLC
CRD#: 149157 / SEC#: 801-70191
Contact information
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.
