Dennis Alan Haubert

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2023-06-02

CO RA
APPROVED

Since 2023-06-02

Branch Locations

6000 E Evans Ave Ste 2-200, Denver, CO 80222 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cetera Investment Services Llc	St.CLoud	MN	09/2013	06/2017
Regions Bank	Jefferson City	MO	09/2013	06/2017
Cetera Investment Advisers Llc	Columbia	MO	01/2014	06/2017
Wells Fargo Clearing Services, Llc	Greenwood Village	CO	06/2017	03/2020
Transamerica Investors Securities Corporation	Denver	CO	04/2020	04/2021
Transamerica Life Insurance Company	Denver	CO	04/2020	04/2021
Edward Jones	St Louis	MO	04/2021	10/2022
Sigma Financial Corporation	Ann Arbor	MI	10/2022	Present
Sigma Planning Corporation	Ann Arbor	MI	10/2022	Present
Lpl Financial Llc	Denver	CO	06/2023	Present

09/2013 → 06/2017

Cetera Investment Services Llc

St.CLoud, MN
09/2013 → 06/2017

Regions Bank

Jefferson City, MO
01/2014 → 06/2017

Cetera Investment Advisers Llc

Columbia, MO
06/2017 → 03/2020

Wells Fargo Clearing Services, Llc

Greenwood Village, CO
04/2020 → 04/2021

Transamerica Investors Securities Corporation

Denver, CO
04/2020 → 04/2021

Transamerica Life Insurance Company

Denver, CO
04/2021 → 10/2022

Edward Jones

St Louis, MO
10/2022 → Present

Sigma Financial Corporation

Ann Arbor, MI
10/2022 → Present

Sigma Planning Corporation

Ann Arbor, MI
06/2023 → Present

Lpl Financial Llc

Denver, CO

Previous Registrations

2022-10-05 → 2023-06-02

Spc

Denver, CO

Ann Arbor, MI
2021-04-16 → 2022-10-07

Edward Jones

Golden, CO

Golden, CO
2020-04-07 → 2021-04-19

Transamerica Retirement Advisors, Llc

Denver, CO
2017-06-27 → 2020-03-17

Wells Fargo Clearing Services, Llc

Greenwood Village, CO
2014-01-21 → 2017-06-22

Cetera Investment Advisers Llc

Columbia, MO
2013-09-25 → 2014-01-21

Cetera Investment Services Llc

Hoover, AL

Jefferson City, MO

Columbia, MO

St Cloud, MN
2010-04-16 → 2013-09-26

Ameriprise Financial Services, Llc

Boulder, CO

Denver, CO
2009-06-01 → 2010-05-13

Morgan Stanley

Greenwood Village, CO

Arvada, CO
2006-02-03 → 2009-06-01

Citigroup Global Markets Inc.

Arvada, CO

Englewood, CO

Englewood, CO

Broomfield, CO
2001-09-13 → 2006-02-06

Morgan Stanley Dw Inc.

Denver, CO

Denver, CO

Other Businesses

1.06/02/2023; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Upstream Investment Partners; Investment Related; at Reported Business Location(s); Start Date 06/02/2023; hrs/mth; hrs during trading 2.09/25/2025; Arvada Jefferson Kiwanis; Non-Profit Board Member; Not Investment Related; 8764 El Diente Street Arvada,CO; Start Date 10/01/2025; 20hrs/mth; 2hrs during trading 3.11/26/2025; D & S Investment Properties LLC; Real Estate Rental; Investment Related; Mailing address for the LLC 8764 El Diente Street Arvada,CO.; Start Date 01/01/2026; 10hrs/mth; 0hrs during trading 4.08/11/2026; JeffCo; Politics/ Government; Not Investment Related; Golden,CO; Start Date 09/21/2026; 25hrs/mth; 12hrs during trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-08-21

S66 Uniform Combined State Law Examination

2001-08-21

Designations

Certified Financial Planner

Other Names

Dennis A Haubert
Dennis Alan Haubert Jr
Dennis Alan Haubert
Dennis Alan Haubert

View on SEC IAPD