FH
Francis J. Haas
JACOBI CAPITAL MANAGEMENT
BERWYN, PA 19312
Some features on this profile are disabled
CRD#: 3156985
FH
Professional summary
Francis Joseph Haas JR, who also goes by Frank J Haas, is a registered financial advisor currently at JACOBI CAPITAL MANAGEMENT, LLC located in Berwyn, Pennsylvania and LPL FINANCIAL LLC located in Berwyn, Pennsylvania.
Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Francis has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frank J 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.
1) 5/22/2017 - JACOBI WEALTH ADVISORS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 4/21/2017 - 34 Hours Per Month During Securities Trading - Time Spent 20%.
2) 5/22/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 4/21/2017 - 17 Hours Per Month During Securities Trading - Time Spent 10% - LIFE, LTC, FIXED ANNUITIES.
3) 5/24/2017 - JACOBI CAPITAL MANAGEMENT, LLC - DBA: (Hybrid) JACOBI WEALTH ADVISORS - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 4/21/2017 - 121 Hours Per Month During Securities Trading - Time Spent 70% - I provide investment advisory services through Jacobi Capital Management LLC, an independent investment advisor firm. I started this business activity in 04/21/2017. I expect to spend approximately [121 hours per month] on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
4) 5/24/2017 - Jacobi Capital Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 4/21/2017 - 121 Hours Per Month During Securities Trading - Time Spent 70% - I provide investment advisory services through Jacobi Capital Management LLC, an independent investment advisor firm. I started this business activity in 04/21/2017. I expect to spend approximately [ 121 hours per month] on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
5) 9/21/2017 - Apex Strategic Partners, LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 05/31/2017 - 20 Hours Per Month/4 Hours During Securities Trading.
6). 07/17/2019 - Premier Brokerage Services, Inc. - Investment related - At reported business location(s) - Non-Variable Insurance - start date:01/01/2018 - 4 hrs/mo - 0 hrs during trading.
7. 10/03/2019 - Crump Life Insurance - Investment related - At reported business location(s) - Non-Variable Insurance - start date:05/22/2017 - 0 hrs/mo - 0 hrs during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Francis Joseph Haas JR'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®
NoneExperience
Current
May 23, 2017 - Present
JACOBI CAPITAL MANAGEMENT, LLC
Office #1: 1055 Westlakes Drive Suite 150, Berwyn, PA 19312RIA
CRD#: 147663
BERWYN, PA
Current
May 22, 2017 - Present
LPL FINANCIAL LLC
Office #1: 1055 Westlakes Dr Ste 135, Berwyn, PA 19312-2424RIA
BD
CRD#: 6413
Berwyn, PA
Past
September 9, 2014 - August 2, 2017
RZ WEALTH
RIA
CRD#: 172573
WAYNE, PA
Past
June 25, 2003 - July 14, 2016
WFG ADVISORS, LP
RIA
CRD#: 125073
WAYNE, PA
Past
April 22, 2003 - May 22, 2017
WFG INVESTMENTS, INC.
BD
CRD#: 22704
WAYNE, PA
Past
October 5, 2001 - April 30, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
December 16, 1998 - October 29, 2001
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
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".
JC
JACOBI CAPITAL MANAGEMENT, LLC
JACOBI CAPITAL MANAGEMENT, LLC | JACOBI WEALTH ADVISORS
CRD#: 147663 / SEC#: 801-69398
RIA
Registered Investment Advisory firm - (8/7/2008 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/4/2020)
RR
California(6/26/2017)
RR
Connecticut(6/26/2017)
RR
Delaware(6/12/2017)
RR
Florida(6/12/2017)
RR
Indiana(8/17/2020)
RR
Maryland(6/27/2017)
RR
Mississippi(2/23/2024)
RR
New Jersey(7/18/2017)
RR
New York(6/27/2017)
RR
North Carolina(6/29/2017)
RR
Pennsylvania(5/22/2017)
IAR
Pennsylvania(5/23/2017)
RR
South Carolina(4/3/2025)
RR
Virginia(6/12/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JC
JACOBI CAPITAL MANAGEMENT, LLC
JACOBI CAPITAL MANAGEMENT, LLC | JACOBI WEALTH ADVISORS
CRD#: 147663 / SEC#: 801-69398
RIA
Registered Investment Advisory firm - (8/7/2008 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
154 Enterprise Way, Pittston, PA 18640
Mailing Address
Phone number
(570) 826-1801
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,314 |
| AUM (Assets Under Management) | $ 2,190,387,155 |
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.
