John D. Haller

COMPASS FINANCIAL GROUP,

Sioux Falls, SD 57106

Some features on this profile are disabled

CRD#: 1945715

Professional summary

John David Haller, CFP® is a registered financial advisor currently at COMPASS FINANCIAL GROUP, INC located in Sioux Falls, South Dakota.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. John has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Joshua Financial - FINANCIAL/SALES OF NON SECURITIES BUSINESS - Licensed Independent Agent - SELL LIFE & HEALTH INSURANCE IN SOUTH DAKOTA. APPROX 5 HRS PER MONTH. LIFE, HEALTH, DISABILLITY, LONG TERM CARE, MED SUPPS; HOURS PER MONTH 5: TRADING HOURS: 5; DUTIES: SALES; STARTED 1983 to Present

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Haller's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1991

Experience

Current

April 19, 2016 - Present

COMPASS FINANCIAL GROUP, INC

Office #1: 4300 South Louise Ave. Suite 300, Sioux Falls, SD 57106

RIA

CRD#: 157109

Sioux Falls, SD

Past

August 28, 2012 - December 31, 2016

VARIABLE INVESTMENT ASSOCIATES, INC.

CRD#: 44412

TEA, SD

Past

May 10, 2011 - December 31, 2015

COMPASS FINANCIAL GROUP, INC

RIA

CRD#: 157109

SIOUX FALLS, SD

Past

December 9, 2008 - August 3, 2012

BROKERSXPRESS LLC

RIA

CRD#: 127081

SIOUX FALLS, SD

Past

December 9, 2008 - August 3, 2012

BROKERSXPRESS LLC

CRD#: 127081

SIOUX FALLS, SD

Past

July 7, 1999 - December 10, 2008

CETERA ADVISORS LLC

RIA

CRD#: 10299

SOUIX FALLS, SD

Past

September 25, 1992 - December 10, 2008

CETERA ADVISORS LLC

CRD#: 10299

SOUIX FALLS, SD

Past

June 16, 1989 - July 21, 1992

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

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".

COMPASS FINANCIAL GROUP, INC

COMPASS FINANCIAL GROUP | REGIONAL SERVICES COMPANY | COMPASS FINANCIAL, INC | COMPASS FINANCIAL GROUP, INC

CRD#: 157109 / SEC#: 801-76392

RIA

Registered Investment Advisory firm - (4/24/2012 Approved)

Iowa

Registered Investment Advisory firm - (6/10/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (6/12/2013 Terminated)

Minnesota

Registered Investment Advisory firm - (6/10/2013 Terminated)

South Dakota

Registered Investment Advisory firm - (6/10/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

South Dakota
(4/21/2016)

IAR

Texas
(6/4/2020)

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: 4/30/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/19/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/13/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/14/1989

Investment Company Products/Variable Contracts Representative Examination

Current Firm

COMPASS FINANCIAL GROUP, INC

COMPASS FINANCIAL GROUP | REGIONAL SERVICES COMPANY | COMPASS FINANCIAL, INC | COMPASS FINANCIAL GROUP, INC

CRD#: 157109 / SEC#: 801-76392

RIA

Registered Investment Advisory firm - (4/24/2012 Approved)

Iowa

Registered Investment Advisory firm - (6/10/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (6/12/2013 Terminated)

Minnesota

Registered Investment Advisory firm - (6/10/2013 Terminated)

South Dakota

Registered Investment Advisory firm - (6/10/2013 Terminated)

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

4300 South Louise Ave. Suite 300, Sioux Falls, SD 57106

Mailing Address

Phone number

(605) 338-7150

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 WRAP FEE BROCHURE (7/1/2025)

ADV II FIRM BROCHURE (7/1/2025)

Regulatory assets under management

Total Number of Accounts	8,015
AUM (Assets Under Management)	$ 1,225,296,000

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

Joe-ben O'banion

TITLEIST ASSET MANAGEMENT, LLC

IAR

SAN ANTONIO, TX

Aura Reinhard

RBC CAPITAL MARKETS, LLC

NEW YORK, NY

Allan Wiltshire

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Athens, GA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John D. Haller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Haller's CRS (Customer Relationship Summary).

Certified licenses

Experience

VARIABLE INVESTMENT ASSOCIATES, INC.

COMPASS FINANCIAL GROUP, INC

BROKERSXPRESS LLC

BROKERSXPRESS LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

Primary Firm SEC Registration

COMPASS FINANCIAL GROUP, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/30/1999

Series 63

Date: 6/19/1989

SIE

Date: 12/31/2016

Series 7

Date: 5/13/1994

Series 6

Date: 6/14/1989

Current Firm

COMPASS FINANCIAL GROUP, INC

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPASS FINANCIAL GROUP, INC

TRUST BUT VERIFY

Similar Advisors