Richard Haag
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.
Richard Haag, who also goes by Richard Anthony Haag, Rick Haag, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2001. Richard had worked at 6 firms and has passed the Series 66, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2011 - July 30, 2013
CAPITAL BROKERAGE CORPORATION
August 17, 2007 - June 16, 2011
EDELMAN FINANCIAL ENGINES
September 26, 2003 - November 17, 2006
SCOTTRADE, INC.
August 16, 2002 - July 7, 2003
WADDELL & REED
October 19, 2001 - November 26, 2001
IDS LIFE INSURANCE COMPANY
October 19, 2001 - November 26, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
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
CAPITAL BROKERAGE CORPORATION
CRD#: 10465 / SEC#: , 8-26614
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
