Jonathan E. Haun

EMERGE CAPITAL MANAGEMENT

BUFFALO, NY 14202

Some features on this profile are disabled

CRD#: 6811254

Professional summary

Jonathan Edward Haun, who also goes by Jonathan E. Haun, is a registered financial advisor currently at EMERGE CAPITAL MANAGEMENT located in Buffalo, New York.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Jonathan has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jonathan E. Haun

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) - RIA

Click below to view Jonathan Edward Haun'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

August 4, 2021 - Present

EMERGE CAPITAL MANAGEMENT

Office #1: 500 Pearl Street Suite 740, Buffalo, NY 14202

RIA

CRD#: 284581

BUFFALO, NY

Past

August 29, 2018 - September 27, 2019

MORGAN STANLEY

RIA

CRD#: 149777

BUFFALO, NY

Past

July 2, 2018 - September 27, 2019

MORGAN STANLEY

CRD#: 149777

BUFFALO, NY

Past

June 9, 2017 - August 1, 2017

JAMES E. COFFEY SECURITIES, INC.

CRD#: 141393

NEW YORK, NY

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".

EMERGE CAPITAL MANAGEMENT

EMERGE CAPITAL MANAGEMENT | EMERGE CAPITAL MANAGEMENT INC.

CRD#: 284581 / SEC#: 801-113648

RIA

Registered Investment Advisory firm - (7/20/2018 Approved)

Illinois

Registered Investment Advisory firm - (7/20/2018 Terminated)

New York

Registered Investment Advisory firm - (7/27/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New York
(8/4/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/28/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/2/2018

General Securities Representative Examination

Current Firm

EMERGE CAPITAL MANAGEMENT

EMERGE CAPITAL MANAGEMENT | EMERGE CAPITAL MANAGEMENT INC.

CRD#: 284581 / SEC#: 801-113648

RIA

Registered Investment Advisory firm - (7/20/2018 Approved)

Illinois

Registered Investment Advisory firm - (7/20/2018 Terminated)

New York

Registered Investment Advisory firm - (7/27/2018 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

500 Pearl Street Suite 740, Buffalo, NY 14202

Mailing Address

Phone number

(904) 870-1092

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EMERGE CAPITAL MANAGEMENT PART 2 BROCHURE (6/17/2025)

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 30,000,483

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.

Similar Advisors

Michael Gimlin

LPL FINANCIAL LLC

IAR

Williamsville, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jonathan E. Haun

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Edward Haun's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMERGE CAPITAL MANAGEMENT

MORGAN STANLEY

MORGAN STANLEY

JAMES E. COFFEY SECURITIES, INC.

Primary Firm SEC Registration

EMERGE CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 8/28/2018

SIE

Date: 10/1/2018

Series 7

Date: 7/2/2018

Current Firm

EMERGE CAPITAL MANAGEMENT

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EMERGE CAPITAL MANAGEMENT

TRUST BUT VERIFY

Similar Advisors