Tomas P. Hauff
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.
Tomas Philip Hauff was a registered financial professional .
Tomas is a previously registered financial professional and started their career in finance in 2003. Tomas had worked at 3 firms and has passed the Series 66, SIE 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
October 7, 2022 - April 23, 2025
STONEX INTERNATIONAL ADVISORS INC
October 7, 2022 - April 23, 2025
STONEX INTERNATIONAL SECURITIES INC.
April 2, 2004 - October 6, 2022
EQUITABLE ADVISORS, LLC
November 5, 2003 - October 6, 2022
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
STONEX INTERNATIONAL ADVISORS INC
CRD#: 153799 / SEC#: 801-123538
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
STONEX INTERNATIONAL ADVISORS INC
CRD#: 153799 / SEC#: 801-123538
Contact information
SEC notice filing (3 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 148 |
| AUM (Assets Under Management) | $ 225,122,494 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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