John W. Haberstro

SHIELD WEALTH ADVISORS

Williamsville, NY 14221

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CRD#: 4754069

Professional summary

John William Haberstro, who also goes by John Haberstro, is a registered financial advisor currently at SHIELD WEALTH ADVISORS located in Williamsville, New York.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. John has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Haberstro

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) - RIA

Click below to view John William Haberstro's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 18, 2020 - Present

SHIELD WEALTH ADVISORS

Office #1: 2809 Wehrle Drive Suite 9, Williamsville, NY 14221

RIA

CRD#: 309538

Williamsville, NY

Past

September 3, 2015 - September 14, 2020

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

RIA

CRD#: 144733

WILLIAMSVILLE, NY

Past

September 1, 2015 - October 26, 2020

PEAK BROKERAGE SERVICES, LLC

CRD#: 157045

Williamsville, NY

Past

September 11, 2012 - September 2, 2015

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

WILLIAMSVILLE, NY

Past

May 14, 2012 - September 2, 2015

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

WILLIAMSVILLE, NY

Past

May 22, 2009 - October 7, 2009

WADDELL & REED

CRD#: 866

SCOTTSDALE, AZ

Past

May 25, 2006 - May 5, 2009

LPL FINANCIAL LLC

CRD#: 6413

PHOENIX, AZ

Past

February 9, 2004 - March 22, 2005

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SHIELD WEALTH ADVISORS

SHIELD WEALTH ADVISORS | SHIELD WEALTH ADVISORS, LLC.

CRD#: 309538 / SEC#: 801-119094

RIA

Registered Investment Advisory firm - (7/23/2020 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(6/2/2021)

IAR

Texas
(11/18/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/11/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/20/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/11/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/6/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SHIELD WEALTH ADVISORS

SHIELD WEALTH ADVISORS | SHIELD WEALTH ADVISORS, LLC.

CRD#: 309538 / SEC#: 801-119094

RIA

Registered Investment Advisory firm - (7/23/2020 Approved)

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Contact information

Main Address

2809 Wehrle Drive Suite 9, Williamsville, NY 14221

Mailing Address

263 Vicksburg Ave, Tonawanda, NY 14150

Phone number

(833) 457-1040

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SHIELD WEALTH ADVISORS ADV PART 2A (JANUARY 29, 2025) (1/29/2025)

Regulatory assets under management

Total Number of Accounts	268
AUM (Assets Under Management)	$ 60,730,929

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.

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John W. Haberstro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John William Haberstro's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

PEAK BROKERAGE SERVICES, LLC

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

WADDELL & REED

LPL FINANCIAL LLC

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

SHIELD WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 6/11/2012

Series 63

Date: 2/20/2004

SIE

Date: 10/1/2018

Series 7

Date: 5/11/2012

Series 6

Date: 2/6/2004

Current Firm

SHIELD WEALTH ADVISORS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHIELD WEALTH ADVISORS

TRUST BUT VERIFY

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