John Haller, financial advisor Sioux Falls SD
86 score

John Haller

CRD Number: 1945715
Current Firm: Compass Financial Group

John Haller (CRD# 1945715) is an Investment Advisor Representative working at Compass Financial Group in Sioux Falls, SD and has over 27 years of experience in the finance industry. John Haller has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Regional Services Company Dbal Compass Financial Group Sioux Falls, SD Apr 2011 - Current 5
Rsc Financial Sioux Falls, SD May 1980 - Current 36
Brokersxpress Chicago, IL Dec 2008 - Aug 2012 3
Multi-financial Securities Corporation Fargo, ND Sep 1992 - Dec 2008 16
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1989
S65 NASAA Investment Advisors Law Examination Apr 1999
Disclosure Information

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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for John D. Haller
Phone Number: 605-338-7150
Registered State(s):
  • IA
  • MN
  • NE
  • SD
By the Numbers
  • Total Assets Under Management
    270
    MILLIONS
  • Total Number of Accounts
    2,000
    ACCOUNTS
  • Average Account Value
    $135,000
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Educational seminars/workshops
Types of Clients
Registered States

IA, MN, NE, SD

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BADGES
86

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