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JH

Jan E. Haynes

Some features on this profile are disabled
CRD#: 833875
JH

Professional summary

Jan Earl Haynes was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jan Earl Haynes was a registered financial professional .

Jan is a previously registered financial professional and started their career in finance in 1977. Jan had worked at 18 firms and has passed the Series 63, SIE, PC, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 3, 2017 - April 20, 2020

INTEGRITY BROKERAGE, LLC

BD
CRD#: 117589
La Jolla, CA
Past

September 9, 2010 - October 31, 2016

CENTAURUS FINANCIAL, INC.

BD
CRD#: 30833
LA JOLLA, CA
Past

January 10, 2007 - September 14, 2010

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
LA JOLLA, CA
Past

April 26, 2005 - February 5, 2007

THE CONCORD EQUITY GROUP, LLC

BD
CRD#: 14569
LA JOLLA, CA
Past

May 26, 1999 - April 29, 2005

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

June 22, 1998 - May 19, 1999

THE CONCORD EQUITY GROUP, LLC

BD
CRD#: 14569
ISELIN, NJ
Past

October 21, 1997 - July 1, 1998

J. ROBBINS SECURITIES, L.L.C

BD
CRD#: 42584
NEW YORK, NY
Past

June 26, 1995 - September 26, 1997

FAB SECURITIES OF AMERICA, INC.

BD
CRD#: 28212
NEW YORK, NY
Past

August 25, 1994 - June 9, 1995

GLOBAL CAPITAL SECURITIES CORPORATION

BD
CRD#: 16184
ENGLEWOOD, CO
Past

May 26, 1992 - July 19, 1994

DICKINSON & CO.

BD
CRD#: 689
DES MOINES, IA
Past

September 30, 1989 - May 29, 1992

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

October 11, 1988 - September 30, 1989

NEWHARD, COOK & CO. INCORPORATED

BD
CRD#: 619
ST. LOUIS, MO
Past

March 25, 1987 - October 6, 1988

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

BD
CRD#: 76
Past

February 27, 1986 - March 26, 1987

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

June 15, 1984 - January 13, 1986

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

March 12, 1984 - September 14, 1984

DETWILER, RYAN & CO., INC.

BD
CRD#: 12956
Past

May 3, 1982 - March 16, 1984

SUTRO & CO. INCORPORATED

BD
CRD#: 801
Past

July 23, 1980 - April 23, 1982

SAN DIEGO SECURITIES INCORPORATED

BD
CRD#: 4136
Past

May 30, 1979 - August 11, 1980

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

September 25, 1978 - July 5, 1979

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

March 1, 1977 - November 16, 1978

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

BD
CRD#: 76

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/18/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
PC
Date: 3/1/1978
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 7
Date: 2/19/1977
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/13/1997
General Securities Principal Examination

Current Firm

IB
INTEGRITY BROKERAGE, LLC
HELMLE, JOSHUA NATHAN | MF MANAGEMENT | INTEGRITY, LLC | INTEGRITY CAPITAL MANAGEMENT | INTEGRITY BROKERAGE, LLC | INTEGRITY BROKERAGE SERVICES, INC. | INTEGRITY BROKERAGE SERVICES

CRD#: 117589 / SEC#: , 8-53604

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

Main Address
720 Seneca St Ste 107, Monterey Park, CA 98101
Mailing Address
453 S Spring St Ste 400 Pmb 285, Los Angeles, CA 90013
Phone number
(949) 294-9833
Established
California since 08/01/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
WONG, DAVID WEICEO/CCO/CFO4689031
DE LUZ, MICHAEL KFINANCIAL OPERATIONS PRINCIPAL2526894
LAWSON, SEAN CHRISTOPHERPRINCIPAL2536371

Disclosures

Regulatory Event3

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

INTEGRITY BROKERAGE, LLC

CRD#: 117589

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