Shane J. Haag

ADVISOR.INVESTMENTS

Baton Rouge, LA 70809

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CRD#: 2363899

Professional summary

Shane Joseph Haag is a registered financial advisor currently at ADVISOR.INVESTMENTS located in Baton Rouge, Louisiana.

Shane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Shane has worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

HAAG FAMILY PROPERTIES, LLC NOT INVESTMENT- RELATED, 12237 EAST MILLBURN AVENUE, BATON ROUGE, LA 70815, RENTAL PROPERTY,MANAGING MEMBER, MARCH 2011, 1% OF TIME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shane Joseph Haag'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

February 19, 2008 - Present

ADVISOR.INVESTMENTS

Office #1: 4870 Bluebonnet Blvd. Suite B, Baton Rouge, LA 70809

RIA

CRD#: 142202

Baton Rouge, LA

Past

November 13, 2006 - November 14, 2006

ADVISOR.INVESTMENTS

RIA

CRD#: 142202

BATON ROUGE, LA

Past

September 22, 2006 - February 19, 2008

QA3 FINANCIAL LLC

RIA

CRD#: 104957

BATON ROUGE, LA

Past

September 22, 2006 - February 11, 2011

QA3 FINANCIAL CORP.

CRD#: 14754

BATON ROUGE, LA

Past

April 22, 2004 - October 2, 2006

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

BATON ROUGE, LA

Past

April 27, 1994 - October 2, 2006

SECURITIES AMERICA, INC.

CRD#: 10205

BATON ROUGE, LA

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".

ADVISOR.INVESTMENTS

ADVISOR.INVESTMENTS | DIVERSIFIED INVESTMENT STRATEGIES, LLC

CRD#: 142202 / SEC#: 801-67260

RIA

Registered Investment Advisory firm - (11/13/2006 Approved)

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

Alabama
(2/29/2008)

IAR

Florida
(2/20/2008)

IAR

Louisiana
(3/4/2008)

IAR

Mississippi
(2/19/2008)

IAR

Nebraska
(2/22/2008)

IAR

Texas
(2/20/2008)

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 66

Date: 11/30/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/7/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/13/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/26/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 9/17/2003

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/16/1994

General Securities Principal Examination

Current Firm

ADVISOR.INVESTMENTS

ADVISOR.INVESTMENTS | DIVERSIFIED INVESTMENT STRATEGIES, LLC

CRD#: 142202 / SEC#: 801-67260

RIA

Registered Investment Advisory firm - (11/13/2006 Approved)

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Contact information

Main Address

4870 Bluebonnet Blvd. Suite B, Baton Rouge, LA 70809

Mailing Address

Phone number

(225) 292-0687

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (1/7/2025)

Regulatory assets under management

Total Number of Accounts	306
AUM (Assets Under Management)	$ 195,496,218

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

Shane J. Haag

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shane Joseph Haag's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVISOR.INVESTMENTS

QA3 FINANCIAL LLC

QA3 FINANCIAL CORP.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

Primary Firm SEC Registration

ADVISOR.INVESTMENTS

State Registrations and Notice Filings

Exams

Series 66

Date: 11/30/2006

Series 65

Date: 10/7/1994

Series 63

Date: 6/13/1994

Series 7

Date: 4/26/1994

Series 4

Date: 9/17/2003

Series 24

Date: 8/16/1994

Current Firm

ADVISOR.INVESTMENTS

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADVISOR.INVESTMENTS

TRUST BUT VERIFY

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