Stephen L. 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.
Stephen L Haas was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1994. Stephen had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55 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
August 23, 2019 - January 23, 2025
AMERIVET SECURITIES, INC.
March 10, 2014 - March 4, 2019
SANTANDER US CAPITAL MARKETS LLC
May 29, 2008 - February 28, 2014
RBC CAPITAL MARKETS, LLC
June 4, 2003 - December 12, 2007
J.P. MORGAN SECURITIES LLC
May 5, 2000 - May 22, 2003
MORGAN STANLEY DW INC.
May 8, 1999 - May 8, 2000
MORGAN STANLEY & CO. LLC
August 18, 1994 - June 25, 1999
MORGAN STANLEY DW 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/11/2000
Limited Representative-Equity Trader ExamCurrent Firm
AMERIVET SECURITIES, INC.
CRD#: 34786 / SEC#: , 8-46478
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
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