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JH

John W. Haase

NOBLES & RICHARDS
Phoenix, AZ 85054
Some features on this profile are disabled
CRD#: 3255174
JH

Professional summary

John William Haase JR, CIMA®, who also goes by John William Haase Jr., John William Haase, is a registered financial professional currently at NOBLES & RICHARDS, INC. located in Phoenix, Arizona.

John is registered as a RR (Registered Representative) and started their career in finance in 2000. John has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John William Haase Jr. | John William Haase

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) - BD

Click below to view John William Haase JR'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

April 8, 2026 - Present

NOBLES & RICHARDS, INC.

Office #1: 18500 N. Allied Way, Phoenix, AZ 85054
BD
CRD#: 146870
Phoenix, AZ
Past

August 12, 2019 - April 9, 2026

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
Los Angeles, CA
Past

January 7, 2019 - July 2, 2019

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
BOSTON, MA
Past

January 6, 2012 - October 27, 2017

SENTINEL FINANCIAL SERVICES COMPANY

BD
CRD#: 31175
MONTPELIER, VT
Past

June 1, 2010 - December 23, 2011

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
NEW YORK, NY
Past

July 15, 2008 - June 1, 2010

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX
Past

June 22, 2007 - July 24, 2008

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
NEW YORK, NY
Past

October 12, 2005 - July 6, 2007

ING INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 21644
NEW YORK, NY
Past

August 11, 2004 - October 4, 2005

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
WINDSOR, CT
Past

December 14, 2000 - July 29, 2004

SYMETRA SECURITIES, INC.

BD
CRD#: 739
BELLEVUE, WA

State Registrations and Notice Filings

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

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
Alabama
(4/8/2026)
RR
Alaska
(4/8/2026)
RR
Arizona
(4/8/2026)
RR
Arkansas
(4/8/2026)
RR
California
(4/8/2026)
RR
Colorado
(4/9/2026)
RR
Connecticut
(4/8/2026)
RR
Delaware
(4/8/2026)
RR
District of Columbia
(4/8/2026)
RR
Florida
(4/8/2026)
RR
Georgia
(4/8/2026)
RR
Hawaii
(4/8/2026)
RR
Idaho
(4/8/2026)
RR
Illinois
(4/8/2026)
RR
Indiana
(4/8/2026)
RR
Iowa
(4/8/2026)
RR
Kansas
(4/8/2026)
RR
Kentucky
(4/8/2026)
RR
Louisiana
(4/8/2026)
RR
Maine
(4/8/2026)
RR
Maryland
(4/8/2026)
RR
Massachusetts
(4/8/2026)
RR
Michigan
(4/8/2026)
RR
Minnesota
(4/8/2026)
RR
Mississippi
(4/8/2026)
RR
Missouri
(4/8/2026)
RR
Montana
(4/8/2026)
RR
Nebraska
(4/8/2026)
RR
Nevada
(4/8/2026)
RR
New Hampshire
(4/8/2026)
RR
New Jersey
(4/8/2026)
RR
New Mexico
(4/8/2026)
RR
New York
(4/8/2026)
RR
North Carolina
(4/8/2026)
RR
North Dakota
(4/8/2026)
RR
Ohio
(4/8/2026)
RR
Oklahoma
(4/8/2026)
RR
Oregon
(4/8/2026)
RR
Pennsylvania
(4/8/2026)
RR
Rhode Island
(4/8/2026)
RR
South Carolina
(4/8/2026)
RR
South Dakota
(4/8/2026)
RR
Tennessee
(4/8/2026)
RR
Texas
(4/8/2026)
RR
Utah
(4/8/2026)
RR
Vermont
(4/8/2026)
RR
Virginia
(4/8/2026)
RR
Washington
(4/8/2026)
RR
West Virginia
(4/8/2026)
RR
Wisconsin
(4/8/2026)
RR
Wyoming
(4/8/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 9/28/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/27/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/13/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 11/25/2014
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

N&
NOBLES & RICHARDS, INC.
NOBLES & RICHARDS, INC.

CRD#: 146870 / SEC#: , 8-67859

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
801 East Plano Parkway Suite 220, Plano, TX 75074
Mailing Address
801 East Plano Parkway Suite 220, Plano, TX 75074
Phone number
(214) 642-6603
Established
Texas since 10/02/2007
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TELEMARKETING LAW COMPLIANCE, LLCSHAREHOLDER
NOBLES, ILONKAPRESIDENT/CCO2704881
RICHARDS, JAMES ROSSCFO/FINOP2680389

Disclosures

Regulatory Event2

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.

Company Information

NOBLES & RICHARDS, INC.

CRD#: 146870Phoenix, AZ 85054

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