David C. Haas
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2005 - November 17, 2006
BMO CAPITAL MARKETS CORP.
February 6, 2004 - February 18, 2005
RBC CAPITAL MARKETS CORPORATION
September 3, 2002 - February 6, 2004
RBC CAPITAL MARKETS, LLC
September 12, 2000 - November 5, 2001
PRUDENTIAL EQUITY GROUP, LLC
May 1, 2000 - June 2, 2000
CITIGROUP GLOBAL MARKETS INC.
May 5, 1999 - May 1, 2000
SCHRODER & CO. INC.
September 12, 1994 - April 19, 1999
UBS FINANCIAL SERVICES 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
BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | SHAREHOLDER | |
| BRICKLEY, THOMAS JOHN | FINANCIAL AND OPERATIONS PRINCIPAL | 3028843 |
| ESTEY, WARREN FRANCIS | MANAGING DIRECTOR, INVESTMENT BANKING | 3114183 |
| FORLENZA, MICHAEL | HEAD, CHIEF OPERATING OFFICER | 5886049 |
| KAHRAMAN, LEVENT | MANAGING DIRECTOR, GLOBAL MARKETS | 2802822 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
| YUKILEVICH, DANIEL | CHIEF COMPLIANCE OFFICER | 5635481 |
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,210,751,477 |
Disclosures
| Regulatory Event | 46 |
| Civil Event | 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.
