Robert W. Haines
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.
Robert Ward Haines was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1995. Robert had worked at 12 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2010 - December 31, 2012
SOURCE CAPITAL GROUP, INC.
August 11, 2009 - February 2, 2010
ACCESS SECURITIES, LLC
May 28, 2009 - July 17, 2009
MADISON PROPRIETARY TRADING GROUP, LLC
March 12, 2009 - May 26, 2009
TAFFERER TRADING, LLC
June 7, 2007 - November 17, 2008
MKM PARTNERS LLC
June 23, 2004 - June 11, 2007
MANORHAVEN CAPITAL LLC
November 25, 2003 - June 2, 2004
SOURCE CAPITAL GROUP, INC.
October 17, 2002 - October 28, 2003
BLOCK ISLAND GROUP LLC
October 22, 1999 - January 18, 2002
CITIGROUP GLOBAL MARKETS INC.
December 22, 1997 - November 19, 1999
UBS FINANCIAL SERVICES INC.
August 1, 1997 - January 28, 1998
SMITH CULVER INVESTMENTS
October 18, 1995 - July 14, 1997
TRAUTMAN WASSERMAN & COMPANY, INC.
June 7, 1995 - October 13, 1995
TAGLICH BROTHERS, 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
Series 55
Date: 3/15/2005
Limited Representative-Equity Trader ExamCurrent Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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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