Douglas P. Haack

HAMRICK INVESTMENT COUNSEL

Seattle, WA 98121-2567

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CRD#: 2068732

Professional summary

Douglas Phillip Haack, CFP®, who also goes by Douglas P Haack, is a registered financial advisor currently at HAMRICK INVESTMENT COUNSEL, LLC located in Seattle, Washington.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Douglas has worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 52, Series 22, Series 6, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Douglas P Haack

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.

RENTAL PROPERTY NOT INVESTMENT RELATED BURIEN, WA 98166 BUY, RENOVATE, RENT AND SELL REAL ESTATE PROPERTY LESS THAN 10 HOURS PER MONTH, NONE DURING SECURITIES TRADING HOURS. DUTIES:SEARCH FOR PROPERTIES, MAKE OFFERS ON PROPERTIES, THEN SUBCONTRACT WORK FOR RENOVATION, THEN SELL OR RENT PROPERTY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Phillip Haack'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: 2000

Experience

Current

November 1, 2020 - Present

HAMRICK INVESTMENT COUNSEL, LLC

Office #1: 2033 Sixth Avenue, Suite 820, Seattle, WA 98121-2567

RIA

CRD#: 116314

Seattle, WA

Past

January 14, 2011 - July 16, 2020

CORNERSTONE ADVISORS INC

RIA

CRD#: 110908

BELLEVUE, WA

Past

April 15, 2010 - August 17, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

FEDERAL WAY, WA

Past

April 15, 2010 - August 17, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

FEDERAL WAY, WA

Past

June 1, 2009 - December 18, 2009

MORGAN STANLEY

RIA

CRD#: 149777

SEATTLE, WA

Past

June 1, 2009 - December 18, 2009

MORGAN STANLEY

CRD#: 149777

SEATTLE, WA

Past

May 27, 1998 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SEATTLE, WA

Past

November 7, 1997 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SEATTLE, WA

Past

January 9, 1995 - November 7, 1997

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

July 16, 1990 - December 31, 1991

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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".

HAMRICK INVESTMENT COUNSEL, LLC

HAMRICK INVESTMENT COUNSEL | HAMRICK, ROY A. | HAMRICK INVESTMENT COUNSEL, LLC

CRD#: 116314 / SEC#: 801-79347

RIA

Registered Investment Advisory firm - (3/19/2014 Approved)

California

Registered Investment Advisory firm - (1/6/2005 Terminated)

Washington

Registered Investment Advisory firm - (3/24/2014 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

Washington
(11/1/2020)

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: 1/27/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/9/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 9/3/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/11/1995

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 1/6/1995

Municipal Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 7/13/1990

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 7/13/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/29/1996

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 8/13/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

HAMRICK INVESTMENT COUNSEL, LLC

HAMRICK INVESTMENT COUNSEL | HAMRICK, ROY A. | HAMRICK INVESTMENT COUNSEL, LLC

CRD#: 116314 / SEC#: 801-79347

RIA

Registered Investment Advisory firm - (3/19/2014 Approved)

California

Registered Investment Advisory firm - (1/6/2005 Terminated)

Washington

Registered Investment Advisory firm - (3/24/2014 Terminated)

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Contact information

Main Address

2033 Sixth Avenue, Suite 820, Seattle, WA 98121-2567

Mailing Address

Phone number

(206) 441-9911

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HAMRICK INVESTMENT COUNSEL, LLC, FORM ADV, PART 2 (BROCHURE) (3/20/2025)

Regulatory assets under management

Total Number of Accounts	277
AUM (Assets Under Management)	$ 268,725,642

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.

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Advisor Monitoring

Firm Stability Insights

Douglas P. Haack

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Phillip Haack's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORNERSTONE ADVISORS INC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

AMERIPRISE ADVISOR SERVICES, INC.

WADDELL & REED

Primary Firm SEC Registration

HAMRICK INVESTMENT COUNSEL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/27/1998

Series 63

Date: 1/9/1995

Series 3

Date: 9/3/2014

Series 7

Date: 4/11/1995

Series 52

Date: 1/6/1995

Series 22

Date: 7/13/1990

Series 6

Date: 7/13/1990

Series 24

Date: 8/29/1996

Series 8

Date: 8/13/1996

Current Firm

HAMRICK INVESTMENT COUNSEL, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HAMRICK INVESTMENT COUNSEL, LLC

TRUST BUT VERIFY

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