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Craig L. Haberstumpf

Some features on this profile are disabled
CRD#: 4544186
CH

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.

Craig Leslie Haberstumpf was a registered financial professional .

Craig is a previously registered financial professional and started their career in finance in 2002. Craig had worked at 7 firms and has passed the Series 66, Series 7TO, SIE, Series 22, Series 31, Series 7 and Series 24 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 18, 2019 - March 10, 2021

INTERCOASTAL CAPITAL MARKETS, INC.

BD
CRD#: 83
BOCA RATON, FL
Past

March 31, 2009 - October 20, 2009

MICG INVESTMENT MANAGEMENT, LLC

BD
CRD#: 104028
NEWPORT NEWS, VA
Past

August 15, 2006 - March 13, 2009

INDEPENDENT FINANCIAL GROUP, LLC

BD
CRD#: 7717
BOCA RATON, FL
Past

February 16, 2006 - August 17, 2006

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
CORAL SPRINGS, FL
Past

June 23, 2005 - February 17, 2006

INDEPENDENT FINANCIAL GROUP, LLC

BD
CRD#: 7717
CORAL SPRINGS, FL
Past

March 7, 2005 - June 22, 2005

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
WALTHAM, MA
Past

January 13, 2004 - August 23, 2004

PRIME CAPITAL SERVICES, INC.

BD
CRD#: 18334
POUGHKEEPSIE, NY
Past

October 3, 2002 - July 2, 2003

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
BOCA RATON, FL
Past

October 2, 2002 - July 2, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
IAR
Series 66
Date: 8/22/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/18/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/13/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 2/6/2007
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 9/13/2002
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/1/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/28/2007
General Securities Principal Examination

Current Firm

INTERCOASTAL CAPITAL MARKETS, INC.
INTERCOASTAL CAPITAL MARKETS, INC.
BELLAMAH, NEUHAUSER & BARRETT, INC. | INTERCOASTAL CAPITAL MARKETS, INC. (ICM) | INTERCOASTAL CAPITAL MARKETS, INC.

CRD#: 83 / SEC#: , 8-9698

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

Main Address
200 East Palmetto Park Road Suite 108, Boca Raton, FL 33432
Mailing Address
200 East Palmetto Park Road Suite 108, Boca Raton, FL 33432
Phone number
(561) 939-8282
Established
District of Columbia since 07/26/1960
Firm type
Corporation
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (38 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#
TRIFECTA GROUP HOLDINGS LLCOWNER
BIRD, CARL DAVID JR.CHIEF EXECUTIVE OFFICER4482416
ROGERS, JOHN WILLIAM JRPRESIDENT, CHIEF COMPLIANCE OFFICER2424004
SINGER, STEVEN FREDERICCHIEF FINANCIAL OFFICER, COO, FINOP2360737

Disclosures

Regulatory Event9
Arbitration2
Bond1

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

INTERCOASTAL CAPITAL MARKETS, INC.

INTERCOASTAL CAPITAL MARKETS, INC.

CRD#: 83

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