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Detailed Report
JOHN LAWRENCE HAASE
JOHN L HAASE
CRD#: 2284627
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 PATEWOOD VI OFFICE PARK
10 PATEWOOD DRIVE, SUITE 220
GREENVILLE, SC 29615
Registration History
19952000200520102015202020252 FIRMS2008 - 2008 (<1 year)2 FIRMS2008 - Present (16 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1992 - 2008 (15 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)1998 - 2008 (9 years)
License(s)

State Registrations

B
Alabama 11/20/2024
B
Nebraska 1/17/2014
B
Arizona 10/3/2008
B
New Hampshire 10/3/2008
B
Arkansas 11/18/2010
B
New Jersey 1/28/2022
B
California 10/3/2008
B
New Mexico 2/3/2010
B
Colorado 12/11/2024
B
New York 10/3/2008
B
Connecticut 10/3/2008
B
North Carolina 10/3/2008
B
Delaware 10/3/2008
B
Ohio 6/7/2019
B
District of Columbia 10/3/2008
B
Oregon 10/8/2013
IA
District of Columbia 12/11/2008
B
Pennsylvania 10/3/2008
B
Florida 10/3/2008
B
South Carolina 11/17/2021
IA
Florida 8/21/2015
IA
South Carolina 8/8/2023
B
Hawaii 12/15/2016
B
Tennessee 10/3/2008
B
Maine 10/3/2008
B
Texas 10/3/2008
B
Maryland 10/3/2008
IA
Texas 3/3/2020
IA
Maryland 1/8/2014
B
Virginia 10/3/2008
B
Massachusetts 10/10/2017
B
Washington 2/7/2022
B
Missouri 12/1/2022
B
West Virginia 6/27/2018
B
Montana 10/3/2008

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
PATEWOOD VI OFFICE PARK 10 PATEWOOD DRIVE, SUITE 220, GREENVILLE, SC 29615
Registered with this firm since 12/11/2008
B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
PATEWOOD VI OFFICE PARK 10 PATEWOOD DRIVE, SUITE 220, GREENVILLE, SC 29615
Registered with this firm since 10/3/2008
Previous Registration(s)
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IA
 01/01/2008 - 11/21/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) WASHINGTON, DC
B
 01/01/2008 - 11/21/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) WASHINGTON, DC
B
 11/30/1992 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) WASHINGTON, DC
IA
 07/12/1998 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) WASHINGTON, DC
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.