Eric J. Haubert

WELLS FARGO ADVISORS FINANCIAL NETWORK | Senior Financial Advisor & Registered Principal

Dublin, OH 43017

Some features on this profile are disabled

CRD#: 2522029

Professional summary

Eric James Haubert is a registered financial advisor currently at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located in Dublin, Ohio.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Eric has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?

Financial planning

Insurance

Trust & estate planning

Retirement planning

What is your current number of clients?

Greater than 100

What is your minimum asset requirement?

250K

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.

ERIC HAUBERT LLC; NOT INV RELATED; TROY, OH; LLC ESTABLISHED FOR TAX PURPOSES ONLY; 100% ; 0 HOURS PER MONTH. 50% OWNERSHIP; INV RELATED, TROY OH, CURRENTLY NO DUTIES, START 9/2006. RENTAL PROPERTY; INV RELATED; PARK CITY, UT; 100% ; START 1/1/2000; 1 HOUR PER MONTH, 0 DURING TRADING; LANDLORD. | RENTAL PROPERTY; INV RELATED; KEY WEST, FL; 100%; START 5/1/2011; 1 HOUR PER MONTH, 0 DURING TRADING; LANDLORD.| RENTAL PROPERTY, INV RELATED, MARION, OH, 100% START 5/25/2017, 5 HOURS PER MONTH, ZERO DURING TRADING HAUBERT & HOWE LLC DBA KATTER HENRY INVESTMENT GROUP, INV RELATED, TROY, OH, 50% OWNERSHIP, START 2/9/2004, 1 HOUR PER MONTH, 1 HOUR DURING TRADING, FINET PRACTICE. | HAUBERT-HOWE PROPERTIES, LTD; NOT INVESTMENT RELATED; TROY,OH; 50% OWNERSHIP; START DATE 07/31/2020; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; HAUBERT & HOWE LLC; INV. RELATED; TROY, OH; 50% OWNERSHIP; LLC FOR OPERATING ENTITY FOR PRACTICE; 2/1/2004; 2 HRS PER MONTH; 2 HRS DURING TRADING.; | KIG LEGACY CO. LLC, INV RELATED, TROY, OH, 50% ,7/29/2022, 2 HOURS PER MONTH, 2 HOURS DURING TRADING, FINET PRACTICE. | KIG HOLD CO. LLC, INV RELATED, TROY, OH, 40.05% , 7/29/2022, 2 HRS PM, 2 HOURS DURING TRADING, FINET PRACTICE. | BWM HOLDCO, LLC, INVT RELATED, TROY, OH, 40.05% ,1/1/2023, 2 HRS PM AND DURING TRADING, FOR FINET PRACTICE.; | CO-TRUSTEE FOR HAUBERT AND HOWE LLC 401K (MULTIPLE ASSOCIATES), INV RELATED, VANDALIA, OH, START: 01/01/2022, 1 HOUR A MONTH, 1 HOUR DURING TRADING, FINET PRACTICE 401K. | JFF HOLDCO LLC SUBSIDIARY OF KIG HOLDCO, LLC, INVT RELATED, 40.05% ,3/20/2024, 10 HRS PER MONTH AND DURING TRADING, FINET PRACTICE. | VWM HOLDCO, LLC SUBSIDIARY OF KIG HOLDCO, LLC, INVT RELATED, TROY, OH, 40.05% , 5/17/2024, 1 HRS PER MONTH AND DURING TRADING, FINET PRACTICE. | JS HOLDCO LLC SUBSIDIARY OF KIG HOLDCO, LLC; INV RELATED; TROY, OH; 40.05% 7/9/2024; 1 HR PER MONTH; 1 HR DURING TRADING.| HAUBERT & HOWE LLC 401K FBO IAN LYONS, INV RELATED, VANDALIA, OH, 401K, CO-TRUSTEE, 1/1/2022, 1 HOUR PM, 1 HOUR DURING TRADING | HAUBERT & HOWE LLC 401K FBO MERISSA ACKLEY, INV RELATED, VANDALIA, OH,401K, CO-TRUSTEE, 1/1/2022, 1 HOUR PER MONTH, 1 HOUR DURING TRADING | HAUBERT & HOWE LLC 401K FBO TROY SHARPE, INV RELATED, VANDALIA, OH,401K, CO-TRUSTEE, 1/1/2022, 1 HOUR PER MONTH, 1 HOUR DURING TRADING | HAUBERT & HOWE LLC 401K FBO CHRIS NEAL, INV RELATED, VANDALIA, OH,401K, CO-TRUSTEE, 1/1/2022, 1 HOUR PER MONTH, 1 HOUR DURING TRADING | HAUBERT & HOWE LLC 401K FBO KRISTI CROWTHER, INV RELATED, VANDALIA, OH,401K, CO-TRUSTEE, 1/1/2022, 1 HOUR PER MONTH, 1 HOUR DURING TRADING | CMWM HOLDCO LLC SUBSIDIARY OF KIG HOLDCO LLC; INV REL; TROY, OH; 40.05% DATE 07/01/2025; 1 HOUR PER MONTH; 1 HOUR DURING TRADING HOURS HAUBERT & AND HOWE LLC 401K FBO SAMUEL TYLER WILLKOMM; INV REL; VANDALIA,OH; CO-TRUSTEE;01/03/2022; 1 HRS PER MONTH; 1 HRS DURING TRADING; HAUBERT& HOWE LLC 401K FBO JESSICA L MILLS-YOUNGER ; INV REL; VANDALIA,OH; CO-TRUSTEE; 01/03/2022; 1 HRS PER MONTH; 1 HRS DURING TRADING;| Haubert &Howe LLC 401K FBO Elizabeth A Albrecht ; INV REL; VANDALIA,OH; CO-TRUSTEE; 01/03/2022; 1 HRS PM; 1 HRS DURING TRADING;| Haubert &Howe LLC 401K FBO Seth Michael Goodall ; INV REL; VANDALIA,OH; CO-TRUSTEE; 01/03/2022; 1 HRS PM; 1 HRS DURING TRADING;| Haubert and Howe LLC 401K FBO Janice Lynette Spicuzza ; INV REL; VANDALIA,OH; CO-TRUSTEE; 01/03/2022; 1 HRS PM; 1 HRS DURING TRADING;| Haubert and Howe LLC 401K FBO Kevin L Davie ; INV REL; VANDALIA,OH; CO-TRUSTEE; 01/03/2022; 1 HRS PM; 1 HRS DURING TRADING;| Haubert and Howe LLC 401K FBO Bridget Haley Metz; INV REL; VANDALIA,OH; CO-TRUSTEE; 01/03/2022; 1 HRS PM; 1 HRS TRADING;| Haubert and Howe LLC 401K FBO Samuel Tyler Willkomm |Jessica L Mills-Younger|Elizabeth A Albrecht|Seth Michael Goodall |Janice Lynette Spicuzza| Kevin L Davie|Bridget Haley Metz | Donna Jones,| Holly Lawrence | Tyler Yaw |(Multiple Associates and OBA's) ; INV REL; VANDALIA,OH; CO-TRUSTEE; 01/03/2022; 1 HRS PM; 1 HRS DURING TRADING;|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric James Haubert's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Eric James Haubert'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

January 17, 2006 - Present

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Office #1: 565 Metro Place S Ste 110 [satellite], Dublin, OH 43017Office #3: 1407 Pine St [vacation/secondary Home], Key West, FL 33040Office #4: 50 Pearl Road Suite 216 [satellite], Brunswick, OH 44212Office #5: 51 S Stanfield Rd, Troy, OH 45373Office #6: 5 S Main St [office Of Convenience], Minster, OH 45865Office #7: 1041 S Main St [satellite], Bellefontaine, OH 43311Office #8: 40w304 Lafox Rd Ste D1, St Charles, IL 60175

RIA

CRD#: 11025

Dublin, OH

Current

March 12, 2004 - Present

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Office #1: 565 Metro Place S Ste 110 [satellite], Dublin, OH 43017Office #2: 1407 Pine St [vacation/secondary Home], Key West, FL 33040Office #3: 50 Pearl Road Suite 216 [satellite], Brunswick, OH 44212Office #4: 51 S Stanfield Rd, Troy, OH 45373Office #5: 5 S Main St [office Of Convenience], Minster, OH 45865Office #6: 1041 S Main St [satellite], Bellefontaine, OH 43311Office #7: 40w304 Lafox Rd Ste D1, St Charles, IL 60175

RIA

CRD#: 11025

Dublin, OH

Past

August 16, 1999 - April 2, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

TROY, OH

Past

January 28, 1995 - April 2, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 8, 1994 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

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".

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025 / SEC#: 801-57434, 8-28721

RIA

Registered Investment Advisory firm - SEC (4/3/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(10/12/2011)

Alaska
(10/2/2024)

Arizona
(3/12/2004)

Arkansas
(7/29/2020)

California
(3/12/2004)

Colorado
(8/6/2008)

Connecticut
(3/12/2004)

Delaware
(4/27/2023)

District of Columbia
(6/17/2014)

Florida
(3/12/2004)

IAR

Florida
(9/21/2022)

Georgia
(3/12/2004)

Hawaii
(4/1/2021)

Idaho
(6/6/2017)

Illinois
(3/12/2004)

IAR

Illinois
(10/6/2023)

Indiana
(4/5/2004)

Iowa
(3/12/2004)

Kansas
(2/8/2016)

Kentucky
(3/12/2004)

Louisiana
(12/2/2004)

Maine
(5/25/2022)

Maryland
(7/17/2008)

Massachusetts
(11/20/2006)

Michigan
(3/12/2004)

Minnesota
(3/12/2004)

Mississippi
(2/5/2019)

Missouri
(4/2/2008)

Montana
(3/4/2021)

Nebraska
(4/25/2024)

Nevada
(3/12/2004)

New Hampshire
(3/1/2023)

New Jersey
(9/2/2015)

New Mexico
(3/27/2020)

New York
(10/1/2014)

North Carolina
(3/12/2004)

North Dakota
(10/2/2025)

Ohio
(3/12/2004)

IAR

Ohio
(1/17/2006)

Oklahoma
(3/1/2023)

Oregon
(10/29/2013)

Pennsylvania
(10/30/2007)

South Carolina
(3/12/2004)

South Dakota
(1/2/2013)

Tennessee
(3/12/2004)

Texas
(12/1/2004)

IAR

Texas
(9/9/2016)

Utah
(10/8/2014)

Vermont
(4/8/2024)

Virginia
(3/12/2004)

Washington
(3/12/2004)

West Virginia
(1/25/2005)

Wisconsin
(1/27/2017)

Wyoming
(7/8/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/26/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/24/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/10/2002

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/21/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/5/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/6/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025 / SEC#: 801-57434, 8-28721

RIA

Registered Investment Advisory firm - SEC (4/3/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205

Mailing Address

One North Jefferson Avenue H0004-05c, St. Louis, MO 63103

Phone number

(314) 875-3000

Established

Delaware since 03/12/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

3,658

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WFAFN - WRAP FEE BROCHURE ADVISORY PROGRAMS (9/22/2025)

WFAFN - PART 2A - RETIREMENT PLAN CONSULTING (9/22/2025)

FEE-BASED PLANNING SERVICES (9/2/2025)

WFAFN - PART 2A - INSTITUTIONAL CONSULTING (8/4/2025)

Direct owners and executive officers

Name	Position	CRD#
WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC	SOLE MEMBER
CRAVEN, JAMES J	BOARD OF MANAGERS	4323533
GINDI, SOL	BOARD OF MANAGERS	4903526
KARANIK, ERIK ANTHONY	CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS	2260890
LACEY, PAUL	PRINCIPAL OPERATIONS OFFICER/CONTROL PRINCIPAL	5616656
MARKMANN, DAVID FRANZ	DESIGNATED TEXAS OFFICER	2637778
PATEL, RAKESH	CHIEF FINANCIAL OFFICER	5385585
SANKOVICH, PAUL CAMERON	CHIEF COMPLIANCE OFFICER	2475029
TA, KIMBERLY CROWDER	BOARD OF MANAGERS/CONTROL PRINCIPAL	4717506
TYERS, JOHN R	PRESIDENT/BOARD OF MANAGERS/CONTROL PRINCIPAL	2632380

Regulatory assets under management

Total Number of Accounts	401,726
AUM (Assets Under Management)	$ 197,360,196,619

Disclosures

Regulatory Event	35
Arbitration	39

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
12/11/2023	Cover Page	Report
02/17/2023	Cover Page	Report

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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Eric J. Haubert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric James Haubert's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Eric James Haubert's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/26/2006

Series 63

Date: 4/24/1995

SIE

Date: 10/1/2018

Series 3

Date: 1/10/2002

Series 7

Date: 3/21/1995

Series 6

Date: 8/5/1994

Series 24

Date: 6/6/2003

FINRA

Current Firm

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

TRUST BUT VERIFY

Contact information

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