John C. Haley

DUNCAN & HALEY, LTD.

Seattle, WA 98144

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CRD#: 2499505

Professional summary

John Colby Haley, AIF®, who also goes by John C Haley, is a registered financial advisor currently at DUNCAN & HALEY, LTD. located in Seattle, Washington.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. John has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John C Haley

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.

1. 7/13/2000 - SKI INSTRUCTOR - SKI MASTERS SKI SCHOOL - TIME SPENT 1%. 2. 2/7/2002 - NON-VARIABLE INSURANCE DBA - DUNCAN & HALEY, LTD. - SEATTLE, WA. 3. 7/19/2005 - SHARING OF NON-SECURITIES RELATED INSURANCE COMMISSIONS WITH REFERRING BROKERS - SEATTLE, WA. 4. 3/5/2009 - REGISTERED INVESTMENT ADVISOR - DUNCAN & HALEY, LTD. - RIA - SEATTLE, WA. 5. 10/15/2013: REAL ESTATE RENTAL - 3 UNITS, THREE RENTERS. - TIME SPENT 1% - WENATCHEE, WA. 6. 11/14/2013: REAL ESTATE RENTAL - HALEY HOMES, LLC - 5 UNTIS, HOUSE, NO ADVISORS OR REPS ARE RENTERS. - TIME SPENT 1% - WENATCHEE, WA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Colby Haley'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

March 1, 2024 - Present

DUNCAN & HALEY, LTD.

Office #1: 2753 S Washington Street, Seattle, WA 98144

RIA

CRD#: 109900

Seattle, WA

Past

May 23, 2016 - December 31, 2023

DUNCAN & HALEY, LTD.

RIA

CRD#: 109900

SEATTLE, WA

Past

May 30, 2001 - September 15, 2014

DUNCAN & HALEY, LTD.

RIA

CRD#: 109900

SEATTLE, WA

Past

January 13, 1999 - July 10, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

SEATTLE, WA

Past

December 17, 1998 - July 10, 2014

LPL FINANCIAL LLC

CRD#: 6413

SEATTLE, WA

Past

May 19, 1998 - December 18, 1998

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

November 13, 1997 - April 28, 1998

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

June 28, 1994 - October 2, 1997

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

DUNCAN & HALEY, LTD.

DUNCAN & HALEY | DUNCAN & HALEY, LTD.

CRD#: 109900 / SEC#: 801-79706

RIA

Registered Investment Advisory firm - (5/20/2014 Approved)

Washington

Registered Investment Advisory firm - (9/15/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Washington
(3/1/2024)

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 65

Date: 11/19/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/7/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/9/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/7/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/3/2000

General Securities Principal Examination

Current Firm

DUNCAN & HALEY, LTD.

DUNCAN & HALEY | DUNCAN & HALEY, LTD.

CRD#: 109900 / SEC#: 801-79706

RIA

Registered Investment Advisory firm - (5/20/2014 Approved)

Washington

Registered Investment Advisory firm - (9/15/2014 Terminated)

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Contact information

Main Address

2753 S Washington Street, Seattle, WA 98144

Mailing Address

Phone number

(206) 625-2658

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV II 2025 (3/13/2025)

Regulatory assets under management

Total Number of Accounts	110
AUM (Assets Under Management)	$ 664,085,976

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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John C. Haley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Colby Haley's CRS (Customer Relationship Summary).

Certified licenses

Experience

DUNCAN & HALEY, LTD.

DUNCAN & HALEY, LTD.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATHAN & LEWIS SECURITIES, INC.

FSC SECURITIES CORPORATION

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

DUNCAN & HALEY, LTD.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/19/1997

Series 63

Date: 6/7/1994

Series 7

Date: 7/9/1997

Series 6

Date: 6/7/1994

Series 24

Date: 10/3/2000

Current Firm

DUNCAN & HALEY, LTD.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DUNCAN & HALEY, LTD.

TRUST BUT VERIFY

Contact information

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