Haddon B. Libby

WINSLOW DRAKE

Cathedral City, CA

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CRD#: 3063645

Professional summary

Haddon B Libby, who also goes by Haddon Brooks Libby Jr, is a registered financial advisor currently at WINSLOW DRAKE, INC. located in Cathedral City, California.

Haddon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Haddon has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Haddon Brooks Libby Jr

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.

1)CATHEDRAL CITY CHAMBER OF COMMERCE, PRESIDENT FOR 2020-1 YEAR, 68487 E. PALM CANYON DR., C-7, CATHEDRAL CITY, CA 92234; PROMOTION OF BUSINESS IN CATHEDRAL CITY NOT INVESTMENT RELATED; 3% TIME DEVOTED TO THIS ACTIVITY 2)CV WEEKLY; 43715 CALLE LAS BRISAS W., PALM DESERT, CA 92211; CONTRIBUTING WRITER; LOCAL WEEKLY NEWSPAPER ON LOCAL EVENTS. NON INVESTMENT RELATED, 1% TIME DEVOTED TO THIS ACTIVITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Haddon B Libby's 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®

None

Experience

Current

January 16, 2018 - Present

WINSLOW DRAKE, INC.

RIA

CRD#: 286638

Cathedral City, CA

Past

March 7, 2017 - December 31, 2017

WINSLOW DRAKE, INC.

RIA

CRD#: 286638

Palm Desert, CA

Past

February 12, 2015 - March 21, 2017

CALTON & ASSOCIATES, INC.

RIA

CRD#: 20999

Palm Desert, CA

Past

January 27, 2015 - March 21, 2017

CALTON & ASSOCIATES, INC.

CRD#: 20999

HUNTINGTON BEACH, CA

Past

October 9, 2007 - June 5, 2008

BROKERSXPRESS LLC

CRD#: 127081

CHICAGO, IL

Past

June 2, 2003 - November 2, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

PALM DESERT, CA

Past

January 21, 2003 - November 2, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

October 1, 1998 - November 21, 2002

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

July 16, 1998 - October 1, 1998

BANCAMERICA SECURITIES, INC.

CRD#: 17977

SAN FRANCISCO, CA

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

California
(1/16/2018)

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: 2/9/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/31/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/21/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/27/2015

General Securities Representative Examination

Current Firm

WINSLOW DRAKE, INC.

HADDON B. LIBBY D/B/A WINSLOW DRAKE | WINSLOW DRAKE, INC. | WINSLOW DRAKE | LIBBY, HADDON B.

CRD#: 286638 / SEC#:

California

Registered Investment Advisory firm - (1/16/2018 Approved)

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Contact information

Main Address

Cathedral City, CA

Mailing Address

Phone number

(213) 596-8399

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	86
AUM (Assets Under Management)	$ 50,898,094

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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Firm Stability Insights

Haddon B. Libby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Haddon B Libby's CRS (Customer Relationship Summary).

Certified licenses

Experience

WINSLOW DRAKE, INC.

CALTON & ASSOCIATES, INC.

CALTON & ASSOCIATES, INC.

BROKERSXPRESS LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA SECURITIES LLC

BANCAMERICA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/9/2015

Series 63

Date: 8/31/1998

SIE

Date: 3/21/2017

Series 7

Date: 1/27/2015

Current Firm

WINSLOW DRAKE, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WINSLOW DRAKE, INC.

TRUST BUT VERIFY

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