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DH

David R. Haase

Some features on this profile are disabled
CRD#: 2534907
DH

Professional summary

David Randolph Haase 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 1996. Prior to being barred, David had worked at 8 firms, which includes WHITE OAK MERCHANT PARTNERS LLC, TRUIST SECURITIES INC., BMO CAPITAL MARKETS CORP., SONENSHINE & COMPANY LLC, WELLS FARGO SECURITIES LLC, WELLS FARGO CLEARING SERVICES LLC, J.P. MORGAN SECURITIES INC., CREDIT SUISSE SECURITIES (USA) LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Haase

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

June 29, 2012 - January 16, 2014

WHITE OAK MERCHANT PARTNERS LLC

BD
CRD#: 140142
NEW YORK, NY
Past

October 12, 2011 - March 29, 2012

TRUIST SECURITIES, INC.

BD
CRD#: 6271
ATLANTA, GA
Past

April 21, 2010 - July 8, 2011

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

February 9, 2009 - April 21, 2010

SONENSHINE & COMPANY LLC

BD
CRD#: 104357
NEW YORK, NY
Past

July 1, 2003 - November 16, 2007

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
NEW YORK, NY
Past

February 25, 2002 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

July 1, 1996 - June 5, 2000

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

February 21, 1996 - May 24, 1996

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

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: 2/8/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/1996
General Securities Representative Examination

Current Firm

WO
WHITE OAK MERCHANT PARTNERS LLC
ACCENT CAPITAL ADVISORS, L.L.C. | WHITE OAK MERCHANT PARTNERS LLC

CRD#: 140142 / SEC#: , 8-67283

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
3 Embarcadero Center Suite 540, San Francisco, CA 94111
Mailing Address
3 Embarcadero Center Suite 540, San Francisco, CA 94111
Phone number
(415) 644-4100
Established
California since 12/05/2005
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WHITE OAK FINANCIAL, LLCSOLE SHAREHOLDER OF REGISTRANT
HAKKAK, ANDRE AMINCHIEF COMPLIANCE OFFICER2198641
HAKKAK, ANDRE AMINCHIEF EXECUTIVE OFFICER AND MEMBER2198641
ROMERO, MONIQUEFINOP6712654

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.

Company Information

WHITE OAK MERCHANT PARTNERS LLC

CRD#: 140142

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