AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JH

Joseph S. Haller

Some features on this profile are disabled
CRD#: 1866295
JH

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.

Joseph Shoan Haller, who also goes by Jay Haller, Joseph S Haller, Joseph Haller, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1990. Joseph had worked at 3 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jay Haller | Joseph S Haller | Joseph Haller

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 25, 2013 - November 17, 2022

SLAVIC MUTUAL FUNDS MANAGEMENT CORP.

RIA
CRD#: 113833
BOCA RATON, FL
Past

May 29, 2007 - December 31, 2011

SLAVIC MUTUAL FUNDS MANAGEMENT CORP.

RIA
CRD#: 113833
BOCA RATON, FL
Past

January 13, 1993 - November 8, 2019

SLAVIC INVESTMENT CORPORATION

BD
CRD#: 22885
BOCA RATON, FL
Past

April 24, 1990 - December 20, 1991

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SM
SLAVIC MUTUAL FUNDS MANAGEMENT CORP.
SLAVIC MUTUAL FUNDS MANAGEMENT CORP. | SLAVIC401K

CRD#: 113833 / SEC#: 801-29099

RIA
Registered Investment Advisory firm - (4/3/1987 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/24/2007
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/8/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/2/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/1990
General Securities Representative Examination

Current Firm

SM
SLAVIC MUTUAL FUNDS MANAGEMENT CORP.
SLAVIC MUTUAL FUNDS MANAGEMENT CORP. | SLAVIC401K

CRD#: 113833 / SEC#: 801-29099

RIA
Registered Investment Advisory firm - (4/3/1987 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1075 Broken Sound Parkway Nw Suite 100, Boca Raton, FL 33487-3540
Mailing Address
Phone number
(561) 241-9244
Established
Firm type
Fiscal year end
# of Employees
18

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SLAVIC 2025 AMENDED PART 2A (5/15/2025)
SLAVIC 2025 AMENDED WRAP BROCHURE (5/15/2025)

Regulatory assets under management

Total Number of Accounts6,128
AUM (Assets Under Management)$ 4,496,485,013

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/10/2025
Cover Page
Report
03/01/2024
Cover Page
Report

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.

Company Information

SLAVIC MUTUAL FUNDS MANAGEMENT CORP.

CRD#: 113833

TRUST BUT VERIFY

Monitor Joseph Haller

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.