Individual Firm
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ANDREW RICHARD HAUBER
ANDREW HAUBER
CRD#: 5301283
IA
B
DIVERSIFY ADVISORY SERVICES, LLCCRD#: 326060 918 Maple St
Conshohocken, PA 19428
Conshohocken, PA 19428
DFPG INVESTMENTS, LLCCRD#: 155576 Conshohocken, PA
View By:
6/11/2024
Customer Dispute
Pending
9/22/2008
Customer Dispute
Denied
State Registrations
B
Arizona 10/27/2022
B
Nevada 10/27/2022
B
California 10/27/2022
B
New Jersey 10/27/2022
B
Connecticut 2/28/2023
B
New York 10/27/2022
B
Delaware 10/27/2022
B
North Carolina 10/27/2022
B
District of Columbia 10/27/2022
B
Pennsylvania 10/27/2022
B
Florida 10/27/2022
IA
Pennsylvania 12/19/2023
B
Georgia 10/27/2022
B
South Carolina 10/27/2022
B
Illinois 10/27/2022
B
Texas 10/27/2022
B
Kentucky 10/27/2022
IA
Texas 2/15/2024
B
Maryland 10/27/2022
B
Virginia 1/19/2024
B
Massachusetts 10/27/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/19/2023
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/27/2022 - 12/31/2023 | SANDY, UT | |
IA | 04/15/2015 - 10/27/2022 | CONSHOHOCKEN, PA | |
B | 03/16/2015 - 10/27/2022 | CONSHOHOCKEN, PA | |
IA | 01/02/2015 - 03/23/2015 | NEWTOWN, PA | |
B | 01/02/2015 - 03/23/2015 | NEWTOWN, PA | |
IA | 02/19/2008 - 01/02/2015 | NEWTOWN SQUARE, PA | |
B | 08/21/2007 - 01/02/2015 | NEWTOWN SQUARE, PA |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.