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Detailed Report
KENNETH NEIL HAAS
KEN HAAS, KENNY HAAS
CRD#: 1260628
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 420 MONTGOMERY ST 7TH FL
[NF*/NG-RBO]
SAN FRANCISCO, CA 94104
Registration History
1985199019952000200520102015202020252 FIRMS2001 - 2003 (1 year)2 FIRMS2003 - 2011 (7 years)2 FIRMS2011 - Present (14 years)BWELLS FARGO SECURITIES INC. (CRD# 17438)1997 - 1999 (1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)1993 - 1996 (3 years)BGREAT WESTERN FINANCIAL SECURI... (CRD# 14229)1991 - 1993 (1 year)BFINANCIAL WEST GROUP (CRD# 16668)1991 - 1991 (<1 year)BFINANCIAL WEST INVESTMENT GROUP (CRD# 17869)1990 - 1991 (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1987 - 1990 (2 years)BBATEMAN EICHLER, HILL RICHARDS... (CRD# 76)1984 - 1987 (3 years)
License(s)

State Registrations

B
Arizona 1/3/2011
B
New York 12/2/2021
B
California 1/3/2011
B
Oregon 1/3/2011
IA
California 1/3/2011
B
Tennessee 7/5/2011
B
Florida 8/25/2023
B
Texas 1/3/2011
B
Hawaii 2/25/2019
IA
Texas 10/28/2016
B
Idaho 3/20/2023
B
Vermont 1/3/2011
B
Massachusetts 1/3/2011
B
Washington 1/3/2011
B
Montana 1/3/2011

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
420 MONTGOMERY ST 7TH FL [NF*/NG-RBO], SAN FRANCISCO, CA 94104
ORINDA, CA
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
420 MONTGOMERY ST 7TH FL [NF*/NG-RBO], SAN FRANCISCO, CA 94104
ORINDA, CA
Registered with this firm since 1/3/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/11/2003 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
 04/11/2003 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
IA
 10/15/2001 - 01/23/2003 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) SAN FRANCISCO, CA
B
 05/16/2001 - 01/23/2003 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) NEW YORK, NY
B
 03/14/1997 - 01/11/1999 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
 04/22/1993 - 12/10/1996 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 10/17/1991 - 04/19/1993 GREAT WESTERN FINANCIAL SECURITIES CORPORATION (CRD#:14229) NORTHRIDGE, CA
B
 04/30/1991 - 10/07/1991 FINANCIAL WEST GROUP (CRD#:16668)
FINRA expelled the firm on 02/13/2020
RENO, NV
B
 03/07/1990 - 04/30/1991 FINANCIAL WEST INVESTMENT GROUP (CRD#:17869)
B
 08/26/1987 - 03/01/1990 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 04/18/1984 - 09/08/1987 BATEMAN EICHLER, HILL RICHARDS, INCORPORATED (CRD#:76)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.