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JH

Jay W. Haas

Some features on this profile are disabled
CRD#: 4123504
JH

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.

Jay Wilson Haas JR. was a registered financial professional .

Jay is a previously registered financial professional and started their career in finance in 2000. Jay had worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 23, 2019 - May 4, 2021

ALTERNA SECURITIES, INC.

BD
CRD#: 41139
HOUSTON, TX
Past

October 17, 2019 - March 4, 2021

JIKO SECURITIES INC.

BD
CRD#: 287507
SAN FRANCISCO, CA
Past

April 1, 2019 - March 4, 2021

DELPHOS MMJ L.P.

BD
CRD#: 137389
NEW YORK, NY
Past

August 15, 2018 - September 18, 2020

FCG ADVISORS, LLC

BD
CRD#: 40633
CHATHAM, NJ
Past

August 22, 2016 - September 17, 2018

LARSON FINANCIAL SECURITIES, LLC

BD
CRD#: 152517
SAINT LOUIS, MO
Past

June 26, 2015 - April 4, 2019

YIELDSTREET MARKETS LLC

BD
CRD#: 172295
NEW YORK, NY
Past

June 22, 2006 - October 7, 2014

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA
Past

June 16, 2004 - July 6, 2006

FERRIS, BAKER WATTS, LLC

BD
CRD#: 285
BALTIMORE, MD
Past

April 11, 2000 - July 9, 2004

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/15/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/1/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/10/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 11/17/2003
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/14/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/22/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/28/2000
General Securities Sales Supervisor - Options Module Examination

Current Firm

AS
ALTERNA SECURITIES, INC.
ACTINVER SECURITIES, INC. | ALTERNA SECURITIES, INC.

CRD#: 41139 / SEC#: , 8-49311

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
2800 Post Oak Blvd Suite 6300, Houston, TX 77056
Mailing Address
2800 Post Oak Blvd Suite 6300, Houston, TX 77056
Phone number
(713) 885-9843
Established
Delaware since 11/10/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (29 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#
ALTERNA HOLDINGS, INC.SHAREHOLDER
DE LEON, PATRICIACOMPLIANCE OFFICER5316157
INGRAHAM, FRANK TODDCHIEF COMPLIANCE OFFICER2918519
MAZA, FRANCISCO XAVIERPRESIDENT/CEO/CROP/SROP2786574
NUNN, RICHARD ANDREWFINOP1016528

Disclosures

Regulatory Event3
Arbitration1

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

ALTERNA SECURITIES, INC.

CRD#: 41139

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