Ian Ha
Professional summary
Ian Ha was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ian is a previously registered financial professional and started their career in finance in 2009. Prior to being barred, Ian had worked at 3 firms, which includes NORTHMARK WEALTH MANAGEMENT LLC, INFINITY FINANCIAL SERVICES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2020 - December 31, 2021
NORTHMARK WEALTH MANAGEMENT LLC
November 20, 2018 - February 18, 2020
INFINITY FINANCIAL SERVICES
November 20, 2018 - February 18, 2020
INFINITY FINANCIAL SERVICES
September 22, 2009 - October 11, 2018
EQUITABLE ADVISORS, LLC
August 11, 2009 - October 11, 2018
EQUITABLE ADVISORS, 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
Exams
Current Firm
NORTHMARK WEALTH MANAGEMENT LLC
CRD#: 308116 / SEC#:
Contact information
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.
