Joseph John Haas

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2024-02-27
TX	RA	APPROVED_RES	2024-02-27

PA RA
APPROVED

Since 2024-02-27
TX RA
APPROVED_RES

Since 2024-02-27

Branch Locations

Yardley, PA • 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
Signator Investors, Inc.	Boston	MA	05/1997	11/2018
Royal Alliance Associates, Inc.	Yardley	PA	11/2018	02/2024
Lpl Financial	Yardley	PA	02/2024	Present

05/1997 → 11/2018

Signator Investors, Inc.

Boston, MA
11/2018 → 02/2024

Royal Alliance Associates, Inc.

Yardley, PA
02/2024 → Present

Lpl Financial

Yardley, PA

Previous Registrations

2018-11-02 → 2024-03-01

Osaic Wealth, Inc.

Yardley, PA
2004-09-07 → 2018-11-02

Signator Investors, Inc.

Yardley, PA

W. Trenton, NJ

Other Businesses

1- 01/2024 / Generations III Solutions / DBA for LPL Business (entity for LPL business) / Investment Related / 120 hrs mth / 8 hrs during trading / Start Date: 02/09/2024 2- 01/2024 / Generations III Solutions / Non-Variable Insurance / Investment Related / 5 hrs mth / 1 hr during trading / Start Date: 02/09/2024 3- 01/2024 / Life Coach / Other Business / Not Investment Related / 0 hrs mth / 2 hrs during trading / Start Date: 08/01/2026 4- 01/2024 / E-Commerce / Other Business / Not Investment Related / 4 hrs mth / 1 hr during trading / Start Date: 02/09/2024

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-10-13
S63	Uniform Securities Agent State Law Examination	1996-08-01

S65 Uniform Investment Adviser Law Examination

1998-10-13
S63 Uniform Securities Agent State Law Examination

1996-08-01

Other Names

Joseph J Iii Haas

View on SEC IAPD