Scott HaarbauerCRD Number: 1923134
Current Firm: Cadaret Grant & Co Inc.
Scott Haarbauer (CRD# 1923134) is an Investment Advisor Representative working at Cadaret Grant & Co Inc. in Kenosha, WI and has over 24 years of experience in the finance industry.
Jordan Financial Life Planning
Financial Service Group Inc.
D.h. Hill Advisors, Inc.
|Eighth Avenue Advisors||Kenosha, WI||Nov 2015 - Current||< 1|
|Cadaret, Grant & Company, Inc.||Kenosha, WI||Jan 2007 - Current||9|
|Thomey, Heller & Haarbauer||Kenosha, WI||Nov 2011 - Nov 2015||4|
|Haarbauer Financial Services||Kenosha, WI||Jan 2007 - Nov 2011||4|
|La Salle St Securities||Chicago, IL||Sep 2001 - Jan 2007||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1992|
|S65||NASAA Investment Advisors Law Examination||Mar 2005|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Criminal Record
Total Assets Under Management3,475MILLIONS
Total Number of Accounts18,688ACCOUNTS
Average Account Value$185,929
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AL, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV