Jeffrey E. Haberstroh
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.
Jeffrey Earl Haberstroh was a registered financial advisor .
Jeffrey is a previously registered financial advisor and started their career in finance in 1997. Jeffrey had worked at 4 firms and has passed the Series 65, Series 63, Series 31 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
January 24, 2003 - October 15, 2003
FERRIS, BAKER WATTS, LLC
January 11, 2002 - October 15, 2003
FERRIS, BAKER WATTS, LLC
April 6, 2001 - January 16, 2002
TICHE CAPITAL STRATEGIES LLC
August 28, 1998 - April 6, 2001
EMMETT A LARKIN COMPANY, INC.
January 29, 1997 - September 21, 1998
FAIRCHILD FINANCIAL GROUP, 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
FERRIS, BAKER WATTS, LLC
CRD#: 285 / SEC#: , 8-16427
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC CAPITAL MARKETS CORPORATION | 100% OWNER | 31194 |
| CHAPMAN, JAMES DOUGLAS | CEO | 728296 |
| COQUELIN, WILLIAM CARL | CHIEF INFORMATION OFFICER | |
| DIRZUWEIT, LENEE BETH | ROSFP | 2480492 |
| HARTMAN, CRAIG ROBERT | CFO | 4413090 |
| KAVANAGH, MICHAEL ROBERT | DIRECTOR | 1021014 |
| KERMEEN, DEBORAH JOY | COO | 2235924 |
| LEAVERTON, KARL VERNON | DIRECTOR | 1106831 |
| RUTHERFORD, PATRICIA ANN | CHIEF COMPLIANCE OFFICER | 5059176 |
| TAFT, JOHN GODFREY | DIRECTOR | 1007933 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 18 |
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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