Robert J. Haas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Joseph Haas was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1978. Robert had worked at 7 firms and has passed the Series 63, SIE, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2013 - September 23, 2015
J.W. COLE FINANCIAL, INC.
May 28, 2009 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
August 20, 1999 - May 13, 2009
UBS FINANCIAL SERVICES INC.
December 17, 1993 - August 27, 1999
PRUDENTIAL EQUITY GROUP, LLC
January 23, 1980 - December 22, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 4, 1978 - July 9, 1979
BLUNT ELLIS & LOEWI INCORPORATED
March 27, 1978 - April 4, 1978
LOEWI & CO., INCORPORATED
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
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationCurrent Firm
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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