Scott A. Haley
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.
Scott Alan Haley was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1996. Scott had worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2014 - July 26, 2016
SPURR FINANCIAL PLANNING, INC.
August 30, 2010 - December 16, 2013
CHARLES SCHWAB & CO., INC.
August 27, 2010 - December 16, 2013
CHARLES SCHWAB & CO., INC.
December 31, 2001 - July 28, 2009
CHARLES SCHWAB & CO., INC.
January 5, 2000 - July 28, 2009
CHARLES SCHWAB & CO., INC.
May 14, 1999 - October 21, 1999
KEYBANC CAPITAL MARKETS INC.
January 14, 1999 - May 14, 1999
KEY INVESTMENTS INC.
November 17, 1997 - December 8, 1998
WELLS FARGO CLEARING SERVICES, LLC
November 14, 1996 - November 25, 1997
DWS DISTRIBUTORS, INC.
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
Current Firm
SPURR FINANCIAL PLANNING, INC.
CRD#: 125563 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 242 |
| AUM (Assets Under Management) | $ 88,644,805 |
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.
