Michael S. Haddaway

WORLD CHOICE SECURITIES

COLUMBUS, OH 43235

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CRD#: 2242912

Professional summary

Michael Shannon Haddaway, who also goes by M. Shannon Haddaway, is a registered financial advisor currently at WORLD CHOICE SECURITIES, INC. located in Columbus, Ohio.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

M. Shannon Haddaway

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.

HADDAWAY FINANCIAL SERVICES GROUP, non investment related, 44 South Kintner Parkway, Sunbury, OH 43074, insurance sales, sole proprietor, <20 hours/month, 7/1997, traditional life and disability slaes. LTC INSURANCE ALLIANCE, non investment related, 44 South Kintner Parkway, Sunbury, OH 43074, Long Term Care Insurance, <20 hours /month, 7/1997, Insurance Sales.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Shannon Haddaway's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Shannon Haddaway'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®

None

Experience

Current

May 9, 2018 - Present

WORLD CHOICE SECURITIES, INC.

Office #1: 7650 Rivers Edge Drive Suite 260, Columbus, OH 43235

RIA

CRD#: 30933

COLUMBUS, OH

Current

May 9, 2018 - Present

WORLD CHOICE SECURITIES, INC.

Office #1: 7650 Rivers Edge Drive Suite 260, Columbus, OH 43235

RIA

CRD#: 30933

COLUMBUS, OH

Past

January 26, 2016 - December 31, 2018

REGIS ASSET MANAGEMENT LLC

RIA

CRD#: 125872

Sunbury, OH

Past

July 11, 2008 - May 10, 2018

CAPITAL CITY SECURITIES, LLC

CRD#: 146001

SUNBURY, OH

Past

July 7, 2003 - December 31, 2015

REGIS ASSET MANAGEMENT LLC

RIA

CRD#: 125872

SUNBURY, OH

Past

June 20, 2003 - August 11, 2008

REGIS SECURITIES CORPORATION

CRD#: 103711

SUNBURY, OH

Past

September 27, 2002 - June 20, 2003

CINCINNATI ANALYSTS, INC.

RIA

CRD#: 5478

SUNBURY, OH

Past

September 19, 2002 - June 20, 2003

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

Past

March 19, 2001 - September 18, 2002

ALBANY SECURITIES, LLC.

CRD#: 47249

WORTHINGTON, OH

Past

May 24, 1999 - March 6, 2001

DONAHUE SECURITIES, INC.

CRD#: 24330

CINCINNATI, OH

Past

July 6, 1998 - June 9, 1999

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

September 16, 1997 - June 9, 1999

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/9/2018)

Florida
(5/9/2018)

Ohio
(5/9/2018)

IAR

Ohio
(5/9/2018)

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

State Security Law Exam

Series 63

Date: 8/4/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/10/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/15/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/24/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WORLD CHOICE SECURITIES, INC.

PB & T FINANCIAL SERVICES, INC. | WORLD CHOICE SECURITIES, INC.

CRD#: 30933 / SEC#: , 8-45235

Florida

Registered Investment Advisory firm - SEC (6/22/2005 Approved)

Ohio

Registered Investment Advisory firm - SEC (4/10/2018 Approved)

Texas

Registered Investment Advisory firm - SEC (1/1/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

7650 Rivers Edge Drive Suite 260, Columbus, OH 43235

Mailing Address

7650 Rivers Edge Drive Suite 260, Columbus, OH 43235

Phone number

(614) 436-0231

Established

Texas since 09/10/1992

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (24 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
WCS FINANCIAL GROUP, INC.	HOLDING COMPANY
CARGIN, ROBERT KENNETH	CHIEF COMPLIANCE OFFICER	1825995
CARGIN, ROBERT KENNETH	PRESIDENT/SECRETARY/TREASURER/FINOP	1825995

Regulatory assets under management

Total Number of Accounts	45
AUM (Assets Under Management)	$ 24,955,000

Disclosures

Regulatory Event

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

Michael S. Haddaway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Shannon Haddaway's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Shannon Haddaway's CRS (Customer Relationship Summary).

Certified licenses

Experience

WORLD CHOICE SECURITIES, INC.

REGIS ASSET MANAGEMENT LLC

CAPITAL CITY SECURITIES, LLC

REGIS ASSET MANAGEMENT LLC

REGIS SECURITIES CORPORATION

CINCINNATI ANALYSTS, INC.

CINCINNATI ANALYSTS, INC.

ALBANY SECURITIES, LLC.

DONAHUE SECURITIES, INC.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/4/2004

SIE

Date: 10/1/2018

Series 7

Date: 7/10/2001

Series 6

Date: 9/15/1997

Series 24

Date: 7/24/2001

FINRA

Current Firm

WORLD CHOICE SECURITIES, INC.

Contact information

FINRA licenses (24 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WORLD CHOICE SECURITIES, INC.

TRUST BUT VERIFY

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