Susan L. 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.
Susan Lynn Haas, CFP®, who also goes by Susan Lynn Bankhead, Susan Lynn Driscoll, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2005. Susan had worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2015
Experience
May 11, 2020 - January 22, 2025
MORGAN STANLEY
May 11, 2020 - January 22, 2025
MORGAN STANLEY
June 17, 2014 - May 6, 2020
RBC CAPITAL MARKETS, LLC
June 17, 2014 - May 6, 2020
RBC CAPITAL MARKETS, LLC
August 9, 2012 - June 12, 2014
MCGEE WEALTH MANAGEMENT, INC.
April 17, 2012 - June 16, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 28, 2011 - March 22, 2012
KMS FINANCIAL SERVICES, INC.
September 28, 2011 - March 22, 2012
KMS FINANCIAL SERVICES, INC.
April 27, 2007 - September 20, 2011
WELLS FARGO CLEARING SERVICES, LLC
April 27, 2007 - September 20, 2011
WELLS FARGO CLEARING SERVICES, LLC
August 12, 2006 - May 15, 2007
UBS FINANCIAL SERVICES INC.
July 11, 2005 - August 12, 2006
PIPER SANDLER & CO.
February 8, 2005 - July 28, 2005
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
