TH
Timothy J. Haas
PROSPERITY CAPITAL ADVISORS
Sandy Hook, CT 06482
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CRD#: 4810370
TH
Professional summary
Timothy Joseph Haas, CFP®, who also goes by Tim Haas, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Sandy Hook, Connecticut.
Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Timothy has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tim Haas
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.
1. The Haas Agency, Inc. / Sandy Hook, CT / Non-Investment Related / Start Date: 12/2010 / 20 hours a month / The Haas Agency, Inc. receives Property & Casualty Insurance commissions and has contracts with the carriers. Commissions earned from The Haas Agency, Inc. are paid to Tim and his wife personally through Waypoint Financial Planning Inc.. 2. Mr. Haas works with the Sandy Hook, CT chapter of the American Financial Education Alliance (AFEA). Mr. Haas conducts several seminars per month to help eliminate financial illiteracy as part of his marketing efforts. There are no product sales or company names mentioned at these seminars. 3. Waypoint Financial Planning, Inc. / Sandy Hook, CT / Investment Related / Start Date: 03/2017 / approx. 100 hours a month is a DBA for Timothy J. Haas and he offers insurance and advisory business and services. He also provides services for clients that can benefit from financial planning and asset allocation. Investment Advisory services are offered through Prosperity Capital Advisors. 4. Mr. Haas offers tax preparation services. He spends approximately ten hours per month on this activity during trading hours. This is not an investment related activity.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Joseph Haas's 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®
Experience
Current
March 17, 2023 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 107 Church Hill Rd., Bldg A, Suite Gl-2, Sandy Hook, CT 06482RIA
CRD#: 156480
Sandy Hook, CT
Past
July 1, 2019 - March 17, 2023
LIFEPRO ASSET MANAGEMENT
RIA
CRD#: 285252
Sandy Hook, CT
Past
April 9, 2018 - July 10, 2019
INTEGRATED WEALTH CONCEPTS LLC
RIA
CRD#: 284656
Danbury, CT
Past
April 2, 2018 - July 23, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
DANBURY, CT
Past
February 14, 2017 - February 15, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
SOUTH WINDSOR, CT
Past
February 14, 2017 - February 15, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
SOUTH WINDSOR, CT
Past
June 6, 2014 - April 6, 2018
EQUITY SERVICES, INC.
RIA
CRD#: 265
SANDY HOOK, CT
Past
May 7, 2013 - April 6, 2018
EQUITY SERVICES, INC.
BD
CRD#: 265
SANDY HOOK, CT
Past
May 18, 2011 - April 8, 2013
BROOKLIGHT PLACE SECURITIES, INC.
BD
CRD#: 15764
SANDY HOOK, CT
Past
June 18, 2004 - March 31, 2011
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
NEW FAIRFIELD, CT
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".
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 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
Connecticut(3/17/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
30400 Detroit Road Suite 201, Westlake, OH 44145
Mailing Address
Phone number
(888) 240-0064
Established
Firm type
Fiscal year end
# of Employees
202
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,823 |
| AUM (Assets Under Management) | $ 3,684,966,200 |
Red Flags
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Company Information
PROSPERITY CAPITAL ADVISORS
CRD#: 156480Sandy Hook, CT 06482TRUST BUT VERIFY
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