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JH

John S. Haw

WEALTHFORGE SECURITIES
Glen Allen, VA 23060
Some features on this profile are disabled
CRD#: 6746973
JH

Professional summary

John Sheppard Haw, who also goes by John Sheppard Haw III, is a registered financial professional currently at WEALTHFORGE SECURITIES, LLC located in Glen Allen, Virginia.

John is registered as a RR (Registered Representative) and started their career in finance in 2017. John has worked at 2 firms and has passed the Series 63, SIE and Series 22 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Sheppard Haw Iii

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 John Sheppard Haw'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 28, 2018 - Present

WEALTHFORGE SECURITIES, LLC

Office #1: 4851 Lake Brook Drive, Glen Allen, VA 23060
BD
CRD#: 152550
Glen Allen, VA
Past

March 10, 2017 - November 22, 2017

ARETE WEALTH MANAGEMENT, LLC

BD
CRD#: 44856
CHICAGO, IL

State Registrations and Notice Filings

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

RR
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

RR
California
(12/11/2019)
RR
Florida
(11/28/2018)
RR
Georgia
(11/28/2018)
RR
Illinois
(12/12/2019)
RR
Iowa
(10/27/2021)
RR
Louisiana
(7/14/2021)
RR
Maryland
(11/28/2018)
RR
Massachusetts
(9/8/2021)
RR
Nevada
(6/13/2023)
RR
New York
(6/2/2021)
RR
North Carolina
(11/28/2018)
RR
Ohio
(7/1/2021)
RR
South Carolina
(11/28/2018)
RR
Virginia
(11/28/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 5/18/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/22/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 3/10/2017
Direct Participation Programs Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WS
WEALTHFORGE SECURITIES, LLC
WEALTHFORGE | WEALTHFORGE, LLC | WEALTHFORGE SECURITIES, LLC

CRD#: 152550 / SEC#: , 8-68464

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
3015 W Moore St Suite 102, Richmond, VA 23230
Mailing Address
3015 W Moore St Suite 102, Richmond, VA 23230
Phone number
(804) 308-0431
Established
Virginia since 07/28/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEALTHFORGE HOLDINGS, INC.PARENT
ARLES, DONNA DIPIETROCFO, PFO, POO6489389
RAPER, JAMES LEROY JRCCO, COO5721253
ROBBINS, GEORGE WILLIAM IVCEO2440106

Disclosures

Regulatory Event3
Arbitration1

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.

Company Information

WEALTHFORGE SECURITIES, LLC

CRD#: 152550Glen Allen, VA 23060

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