George E. Haas

CAPITAL ADVISORS

HOUSTON, TX 77024

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CRD#: 2907686

Professional summary

George Enrique Haas, CFP®, ChFC®, CIMA®, CLU®, who also goes by George E Haas, is a registered financial advisor currently at CAPITAL ADVISORS, INC. located in Houston, Texas.

George is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. George has worked at 7 firms and has passed the Series 66, Series 63, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

George E Haas

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Enrique Haas's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2005

ChFC^®

Chartered Financial Consultant

CIMA^®

Certified Investment Management Analyst

CLU^®

Chartered Life Underwriter

Experience

Current

November 13, 2019 - Present

CAPITAL ADVISORS, INC.

Office #1: 800 Gessner Road Suite 975, Houston, TX 77024

RIA

CRD#: 104643

HOUSTON, TX

Past

February 27, 2014 - November 5, 2019

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

SUGARLAND, TX

Past

March 17, 2008 - February 21, 2014

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

HOUSTON, TX

Past

November 13, 2006 - February 28, 2014

GIRARD SECURITIES, INC.

CRD#: 18697

HOUSTON, TX

Past

October 24, 2005 - November 8, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

October 24, 2005 - November 8, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

HOUSTON, TX

Past

April 12, 2005 - May 27, 2005

PENATES GROUP, INC.

CRD#: 44266

PACIFIC PALISADES, CA

Past

June 8, 1998 - January 24, 2005

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL ADVISORS, INC.

CAPITAL ADVISORS INC | CAPITAL ADVISORS, INC.

CRD#: 104643 / SEC#: 801-14050

RIA

Registered Investment Advisory firm - (9/18/1978 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Louisiana
(11/4/2022)

IAR

Michigan
(11/4/2022)

IAR

Oklahoma
(11/13/2019)

IAR

Texas
(11/13/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/3/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/26/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/21/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/24/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/9/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

CAPITAL ADVISORS, INC.

CAPITAL ADVISORS INC | CAPITAL ADVISORS, INC.

CRD#: 104643 / SEC#: 801-14050

RIA

Registered Investment Advisory firm - (9/18/1978 Approved)

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Contact information

Main Address

2222 South Utica Place Suite 300, Tulsa, OK 74114

Mailing Address

Phone number

(866) 230-5879

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

09 18 2025 CAI FORM ADV PART 2A FINAL (9/18/2025)

Regulatory assets under management

Total Number of Accounts	7,297
AUM (Assets Under Management)	$ 6,146,880,645

Red Flags

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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Advisor Monitoring

Firm Stability Insights

George E. Haas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George Enrique Haas's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERCER GLOBAL ADVISORS INC.

UNITED CAPITAL FINANCIAL ADVISORS

GIRARD SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PENATES GROUP, INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

CAPITAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/3/2005

Series 63

Date: 5/26/1998

Series 7

Date: 5/21/1998

Series 10

Date: 8/24/2001

Series 9

Date: 7/9/2001

Current Firm

CAPITAL ADVISORS, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL ADVISORS, INC.

TRUST BUT VERIFY

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