Thomas J. Haines

INTEGRITY CAPITAL

Scottsdale, AZ 85260

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CRD#: 5017680

Professional summary

Thomas Joseph Haines, who also goes by Thomas Joseph Haines Jr., is a registered financial professional currently at INTEGRITY CAPITAL, LLC located in Scottsdale, Arizona.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2005. Thomas has worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Joseph Haines Jr.

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) - BD

Click below to view Thomas Joseph Haines'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®

None

Experience

Current

July 24, 2017 - Present

INTEGRITY CAPITAL, LLC

Office #1: 16767 N. Perimeter Drive Suite 320, Scottsdale, AZ 85260

CRD#: 285198

Scottsdale, AZ

Past

December 11, 2013 - July 25, 2017

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

June 25, 2010 - November 12, 2013

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

Past

September 1, 2005 - July 20, 2006

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(7/24/2017)

New Jersey
(8/17/2017)

New York
(7/24/2017)

Exams

State Security Law Exam

Series 63

Date: 2/10/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/28/2006

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/31/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/1/2013

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

INTEGRITY CAPITAL, LLC

ANNEXUS SECURITIES, LLC | INTEGRITY CAPITAL, LLC

CRD#: 285198 / SEC#: , 8-69829

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

16767 N. Perimeter Drive Suite 320, Scottsdale, AZ 85260

Mailing Address

16767 N. Perimeter Drive Suite 320, Scottsdale, AZ 85260

Phone number

(480) 321-8992

Established

Delaware since 08/05/2022

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
INTEGRITY WEALTH, LLC	MEMBER
DENHAM, ERIC TODD	PRESIDENT	1812039
GILBREATH, WESLEY BLAKE	CHIEF FINANCIAL OFFICER	7294886
GILBREATH, WESLEY BLAKE	FINOP	7294886
GILBREATH, WESLEY BLAKE	PRINCIPAL FINANCIAL OFFICER	7294886
LEPORE, KENNETH	PRINCIPAL OPERATIONS OFFICER	1356913
LEPORE, KENNETH	CCO	1356913

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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Advisor Monitoring

Firm Stability Insights

Thomas J. Haines

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Joseph Haines's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS SECURITIES LLC

NATWEST MARKETS SECURITIES INC.

BNP PARIBAS SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/10/2014

SIE

Date: 10/1/2018

Series 55

Date: 4/28/2006

Series 7

Date: 8/31/2005

Series 24

Date: 2/1/2013

FINRA

Current Firm

INTEGRITY CAPITAL, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

INTEGRITY CAPITAL, LLC

TRUST BUT VERIFY

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