Daniel John Haugh
Professional Summary
Daniel John Haugh, who also goes by Daniel Haugh, is a registered financial advisor currently at WELLS STREET ADVISORS, LLC located in Chicago, Illinois and PTI SECURITIES & FUTURES L. P. located in Chicago, Illinois. Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Daniel has worked at 2 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Daniel Haugh
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
ETF MANAGER RESOURCE, LLC | WELLS STREET ADVISORS, LLC | ETFMANAGERRESOURCE, LLC
Contact Information
Main Address
411 S. Wells Street Suite 900, Chicago, IL 60607Phone Number
(312) 663-3052# of Employees
2Documents
Regulatory Assets Under Management
Total Number of Accounts
1AUM (Assets Under Management)
$475,000Similar Advisors
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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.
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State Registrations and Notice Filings
(1/21/1997)
(4/4/2003)
(1/21/1997)
(1/21/1997)
(1/21/1997)
(1/15/1993)
(9/10/2010)
(1/21/1997)
(3/16/1992)
(11/27/2014)
(9/22/1992)
(3/1/1993)
(3/7/1995)
(1/22/1997)
(1/22/1997)
(8/11/2003)
(1/22/1993)
(1/15/1993)
(7/10/1996)
(8/18/1994)
(10/20/1993)
(1/21/1997)
(1/13/1994)
(1/22/1997)
(1/21/1997)
(7/11/1994)
(7/12/1994)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Daniel John Haugh's CRS (Customer Relationship Summary).
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