Lon P. Haines
Professional summary
Lon Philip Haines, who also goes by Lon P Haines, is a registered financial professional currently at INDEPENDENCE CAPITAL CO., INC. located in Radnor, Pennsylvania.
Lon is registered as a RR (Registered Representative) and started their career in finance in 2005. Lon has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lon Philip Haines's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 9, 2012 - Present
INDEPENDENCE CAPITAL CO., INC.
Office #1: 201 King Of Prussia Road Suite 650, Radnor, PA 19087-5156September 18, 2008 - February 3, 2011
CLARK SECURITIES, INC.
August 2, 2007 - June 19, 2008
KESTRA INVESTMENT SERVICES, LLC
December 2, 2005 - June 21, 2007
CBIZ FINANCIAL SOLUTIONS, INC.
March 3, 2005 - May 27, 2005
NORTHWESTERN MUTUAL INVESTMENT 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
(3/27/2012)
(4/4/2019)
(3/24/2021)
(4/4/2019)
(4/4/2019)
(2/9/2012)
(4/4/2019)
Exams
FINRA
Current Firm
INDEPENDENCE CAPITAL CO., INC.
CRD#: 24723 / SEC#: , 8-41331
Contact information
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 295 |
| AUM (Assets Under Management) | $ 99,922,105 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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