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DH

David C. Haas

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CRD#: 2513907
DH

Professional summary

David Christian Haas was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, David had worked at 7 firms, which includes BMO CAPITAL MARKETS CORP., RBC CAPITAL MARKETS CORPORATION, RBC CAPITAL MARKETS LLC, PRUDENTIAL EQUITY GROUP LLC, CITIGROUP GLOBAL MARKETS INC., SCHRODER & CO. INC., UBS FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 25, 2005 - November 17, 2006

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

February 6, 2004 - February 18, 2005

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY
Past

September 3, 2002 - February 6, 2004

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

September 12, 2000 - November 5, 2001

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

May 1, 2000 - June 2, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

May 5, 1999 - May 1, 2000

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY
Past

September 12, 1994 - April 19, 1999

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/17/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/10/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/1/2006
General Securities Principal Examination

Current Firm

BC
BMO CAPITAL MARKETS CORP.
B2RICK SECURITIES | HARRIS NESBITT GERARD, INC. | HARRIS NESBITT CORP. | GERARD KLAUER MATTISON & COMPANY | GERARD KLAUER MATTISON & CO.,L.L.C. | GERARD KLAUER MATTISON & CO., L.L.C. | GERARD KLAUER MATTISON & CO., INC. | BRICK SECURITIES PARTNERS, L.P. | BRICK SECURITIES ASSOCIATES | BMO CAPITAL MARKETS CORP.

CRD#: 16686 / SEC#: 801-73047, 8-34344

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
151 West 42nd Street, New York, NY 10036
Mailing Address
151 West 42nd Street, New York, NY 10036
Phone number
(212) 702-1101
Established
Delaware since 03/28/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,275

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

RESEARCH RELATED ACTIVITY (3/28/2025)
SUB ADVISOR (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
BMO FINANCIAL CORP.SHAREHOLDER
BRICKLEY, THOMAS JOHNFINANCIAL AND OPERATIONS PRINCIPAL3028843
ESTEY, WARREN FRANCISMANAGING DIRECTOR, INVESTMENT BANKING3114183
FORLENZA, MICHAELHEAD, CHIEF OPERATING OFFICER5886049
KAHRAMAN, LEVENTMANAGING DIRECTOR, GLOBAL MARKETS2802822
WALISEVER, ARICHIEF COMPLIANCE OFFICER4425793
WOODWARD, JOEL EDWARDCHIEF FINANCIAL OFFICER5467904

Regulatory assets under management

Total Number of Accounts4
AUM (Assets Under Management)$ 1,210,751,477

Disclosures

Regulatory Event46
Civil Event1

Red Flags

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Company Information

BMO CAPITAL MARKETS CORP.

CRD#: 16686

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