Douglas A. Haws

TOM JOHNSON INVESTMENT MANAGEMENT

Oklahoma City, OK 73102-4202

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CRD#: 2683356

Professional summary

Douglas Alan Haws, who also goes by Doug Haws, is a registered financial advisor currently at TOM JOHNSON INVESTMENT MANAGEMENT, LLC located in Oklahoma City, Oklahoma.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Douglas has worked at 3 firms and has passed the Series 63, Series 65 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Doug Haws

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

DIRECTOR-PRIMARY MEDICAL INC.,NORMAN,OKLAHOMA - TERMINATED 10/2006

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Alan Haws's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 2, 1997 - Present

TOM JOHNSON INVESTMENT MANAGEMENT, LLC

Office #1: 201 Robert S. Kerr Ave, Suite 510, Oklahoma City, OK 73102-4202

RIA

CRD#: 104511

Oklahoma City, OK

Past

April 9, 2001 - March 26, 2002

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

PORTLAND, ME

Past

September 19, 1997 - April 9, 2001

UAM FUND DISTRIBUTORS, INC.

CRD#: 24364

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TOM JOHNSON INVESTMENT MANAGEMENT, LLC

TOM JOHNSON INVESTMENT MANAGEMENT, INC. | TOM JOHNSON INVESTMENT MANAGEMENT, LLC

CRD#: 104511 / SEC#: 801-42549

RIA

Registered Investment Advisory firm - (10/21/1992 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Oklahoma
(7/2/1997)

IAR

Texas
(1/1/1999)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/28/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/26/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 12/20/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TOM JOHNSON INVESTMENT MANAGEMENT, LLC

TOM JOHNSON INVESTMENT MANAGEMENT, INC. | TOM JOHNSON INVESTMENT MANAGEMENT, LLC

CRD#: 104511 / SEC#: 801-42549

RIA

Registered Investment Advisory firm - (10/21/1992 Approved)

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Contact information

Main Address

201 Robert S. Kerr, Suite 510, Oklahoma City, OK 73102-4202

Mailing Address

Phone number

(405) 236-2111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TJIM ADV PART 2 A&B 2025 BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	5,871
AUM (Assets Under Management)	$ 1,628,875,708

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Douglas A. Haws

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Alan Haws's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOM JOHNSON INVESTMENT MANAGEMENT, LLC

FUNDS DISTRIBUTOR, LLC

UAM FUND DISTRIBUTORS, INC.

Primary Firm SEC Registration

TOM JOHNSON INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/28/1997

Series 65

Date: 10/26/1995

Series 6

Date: 12/20/1995

Current Firm

TOM JOHNSON INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (50 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TOM JOHNSON INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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