David R. Haas

HAAS FINANCIAL

SANIBEL, FL 33957

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CRD#: 2912526

Professional summary

David Robert Haas, ChFC® is a registered financial advisor currently at HAAS FINANCIAL, INC. located in Sanibel, Florida.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. David has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Licensed insurance professional; same address; not investment related; less than 10% of time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Robert 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®

ChFC^®

Chartered Financial Consultant

Experience

Current

March 22, 2024 - Present

HAAS FINANCIAL, INC.

Office #1: 1619 Periwinkle Way Suite 102, Sanibel, FL 33957

RIA

CRD#: 329490

SANIBEL, FL

Past

December 13, 2013 - March 1, 2024

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

SANIBEL, FL

Past

December 13, 2013 - March 1, 2024

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

SANIBEL, FL

Past

November 29, 2010 - December 20, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

VADNAIS HEIGHTS, MN

Past

July 7, 1997 - December 20, 2013

LPL FINANCIAL LLC

CRD#: 6413

VADNAIS HEIGHTS, MN

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

Arizona
(7/3/2024)

IAR

Florida
(3/22/2024)

IAR

Minnesota
(2/14/2025)

IAR

Texas
(5/24/2024)

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

Series 63

Date: 8/8/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/3/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/3/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/11/2004

General Securities Principal Examination

Current Firm

HAAS FINANCIAL, INC.

HAAS FINANCIAL LLC | HAAS FINANCIAL, INC.

CRD#: 329490 / SEC#: 801-129339

RIA

Registered Investment Advisory firm - (1/30/2025 Terminated)

Arizona

Registered Investment Advisory firm - (7/16/2024 Approved)

Florida

Registered Investment Advisory firm - (12/3/2024 Approved)

Minnesota

Registered Investment Advisory firm - (2/14/2025 Approved)

Texas

Registered Investment Advisory firm - (6/11/2024 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1619 Periwinkle Way Suite 102, Sanibel, FL 33957

Mailing Address

Phone number

(651) 328-8070

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	474
AUM (Assets Under Management)	$ 89,012,211

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

David R. Haas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Robert Haas's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

LPL FINANCIAL LLC

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/8/1997

SIE

Date: 10/1/2018

Series 7

Date: 9/3/1999

Series 6

Date: 7/3/1997

Series 24

Date: 3/11/2004

Current Firm

HAAS FINANCIAL, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HAAS FINANCIAL, INC.

TRUST BUT VERIFY

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