Scott D. Haack
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.
Scott David Haack was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1997. Scott had worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2005 - October 17, 2012
NEW MEXICO INVESTMENT ADVISORS
June 24, 2005 - July 16, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 20, 2000 - November 19, 2002
VOYA INVESTMENTS DISTRIBUTOR, LLC
August 10, 2000 - November 9, 2000
SUNAMERICA SECURITIES, INC.
November 18, 1997 - August 3, 2000
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 8, 1997 - September 26, 1997
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NEW MEXICO INVESTMENT ADVISORS
CRD#: 116288 / SEC#:
Contact information
Red Flags
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