Michael S Haupt
Professional Summary
Michael S Haupt, who also goes by Michael Stuart Haupt, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1997 - 2026. Michael had worked at 10 firms and has passed the Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 25, Series 7, Series 4, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael Stuart Haupt
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
KOONCE SECURITIES, INC. | TZ CLEAR LLC | KOONCE SECURITIES, LLC
Contact Information
Main Address
8080 North Central Expressway Suite 1700, Dallas, TX 75206Mailing Address
8080 North Central Expressway Suite 1700, Dallas, TX 75206Phone Number
(214) 216-0851Established
Delaware since 07/22/2014Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Apr 2006Series 25 — NYSE Trading Assistant Examination
Passed Feb 2000Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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