Todd D. Haefling
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Todd Darin Haefling was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1995. Todd had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2004 - May 22, 2025
FISHER INVESTMENTS
April 8, 2003 - October 7, 2004
PURISIMA SECURITIES, LLC
October 4, 2001 - December 31, 2002
QUASAR DISTRIBUTORS, LLC
January 16, 2001 - October 4, 2001
FIRST FUND DISTRIBUTORS, INC.
May 29, 1998 - June 12, 2000
BANC ONE SECURITIES CORPORATION
January 20, 1995 - December 31, 1996
WMA SECURITIES, INC.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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