William H. Haise
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.
William Homer Haise, who also goes by Bill Homer Haise, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1968. William had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2010 - November 16, 2015
GROVE POINT INVESTMENTS, LLC
November 16, 1995 - December 23, 2008
SII INVESTMENTS, INC.
November 10, 1995 - December 23, 2008
SII INVESTMENTS, INC.
May 13, 1993 - September 20, 1995
WELLINGTON INVESTMENT SERVICES CORP.
February 8, 1990 - May 27, 1993
HAMILTON INVESTMENTS, INC.
December 24, 1975 - March 6, 1990
MARQUETTE FINANCIAL GROUP, INC.
June 26, 1974 - January 26, 1976
INTEGRITY INVESTMENTS INC
August 9, 1968 - July 20, 1974
THE MILWAUKEE COMPANY
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 1
Date: 8/7/1968
Registered Representative ExaminationCurrent Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
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.
