David M. Haas
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.
David Michael Haas was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 12 firms and has passed the Series 63, Series 66, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2017 - May 13, 2019
MML INVESTORS SERVICES, LLC
October 26, 2017 - May 13, 2019
MML INVESTORS SERVICES, LLC
April 21, 2016 - October 17, 2017
PENN INVESTMENT ADVISORS, INC.
February 12, 2016 - March 23, 2016
INVEST FINANCIAL CORPORATION
January 15, 2015 - February 8, 2016
PENN INVESTMENT ADVISORS, INC.
January 14, 2015 - February 8, 2016
EAGLEVIEW SECURITIES, INC
March 30, 2012 - November 15, 2013
UNIFIED FINANCIAL SECURITIES, LLC
March 30, 2010 - December 12, 2014
LONGVIEW CAPITAL MANAGEMENT LLC
January 14, 2010 - October 1, 2010
EVOLVE SECURITIES, INC.
October 1, 2007 - January 13, 2010
CITIGROUP GLOBAL MARKETS INC.
September 24, 2002 - September 21, 2007
TD WEALTH MANAGEMENT SERVICES INC.
May 28, 2002 - September 21, 2007
TD WEALTH MANAGEMENT SERVICES INC.
October 9, 2000 - July 20, 2001
MORGAN STANLEY DW INC.
October 7, 1998 - August 16, 2000
ROBERT W. BAIRD & CO. INCORPORATED
October 7, 1998 - August 16, 2000
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
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
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 |
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.
