John A. Staab
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.
John Allan Staab was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1990. John had worked at 7 firms and has passed the Series 65, Series 66, Series 63, Series 3 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
February 13, 2012 - November 12, 2018
HKS WEALTH ADVISORS
November 4, 2011 - February 21, 2012
UBS FINANCIAL SERVICES INC.
November 4, 2011 - February 21, 2012
UBS FINANCIAL SERVICES INC.
June 1, 2009 - November 9, 2011
MORGAN STANLEY
June 1, 2009 - November 9, 2011
MORGAN STANLEY
March 26, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 26, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 13, 2000 - March 31, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 10, 2000 - March 31, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 28, 1996 - May 2, 1997
BNP PARIBAS PRIME BROKERAGE, INC.
March 20, 1990 - July 5, 1994
WINTRUST INVESTMENTS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HKS WEALTH ADVISORS
CRD#: 159910 / SEC#: 801-72995
Contact information
Red Flags
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