John E. Haugh
HYJC CAPITAL OF WNY
LAKEVILLE, NY 14480
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CRD#: 2802866
Professional summary
John Edward Haugh, CFP® is a registered financial advisor currently at HYJC CAPITAL OF WNY located in Lakeville, New York and LPL FINANCIAL LLC located in Lakeville, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. John has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. 06/06/2023 - HYJC Capital of WNY, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 04/17/2023 - 80 Hours Per Month/ 20 Hours During Securities Trading - I provide investment advisory services through HYJC Capital of WNY, LLC, an independent investment advisor firm. I started this business activity in 4/2023. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 2. 06/16/2023 - HY Wealth Management of WNY - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 06/01/2023 - 80 Hours Per Month/ 80 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view John Edward Haugh's 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®
CFP®
Start date: 2006
Experience
Current
March 20, 2023 - Present
HYJC CAPITAL OF WNY
Office #1: 5989 Big Tree Rd, Lakeville, NY 14480RIA
CRD#: 325574
LAKEVILLE, NY
Current
October 16, 2013 - Present
LPL FINANCIAL LLC
Office #1: 5989 Big Tree Rd, Lakeville, NY 14480RIA
BD
CRD#: 6413
LAKEVILLE, NY
Past
August 11, 2021 - March 15, 2023
HNP CAPITAL LLC
RIA
CRD#: 150333
ROCHESTER, NY
Past
August 3, 2021 - May 25, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAKEVILLE, NY
Past
October 16, 2013 - December 16, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAKEVILLE, NY
Past
March 20, 2000 - October 16, 2013
FIVE STAR INVESTMENT SERVICES, INC.
BD
CRD#: 101840
GENESEO, NY
Past
February 7, 2000 - March 23, 2000
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
October 17, 1997 - February 17, 2000
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Past
December 24, 1996 - February 14, 1997
DUKE & CO., INC.
BD
CRD#: 8035
NEW YORK, NY
Past
October 14, 1996 - January 3, 1997
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, NY
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".
HC
HYJC CAPITAL OF WNY
HYJC CAPITAL OF WNY | HYJC CAPITAL OF WNY, LLC
CRD#: 325574 / SEC#: 801-129355
RIA
Registered Investment Advisory firm - (1/19/2024 Approved)New York
Registered Investment Advisory firm - (1/23/2024 Terminated)Texas
Registered Investment Advisory firm - (1/23/2024 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(10/16/2013)
RR
Indiana(9/30/2022)
RR
Louisiana(4/9/2018)
RR
Michigan(11/20/2020)
RR
New York(10/16/2013)
IAR
New York(3/20/2023)
RR
North Carolina(12/3/2014)
RR
Pennsylvania(10/16/2013)
RR
South Carolina(12/12/2016)
RR
Texas(5/31/2016)
IAR
Texas(12/15/2023)
RR
Virginia(2/11/2019)
RR
West Virginia(1/25/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HC
HYJC CAPITAL OF WNY
HYJC CAPITAL OF WNY | HYJC CAPITAL OF WNY, LLC
CRD#: 325574 / SEC#: 801-129355
RIA
Registered Investment Advisory firm - (1/19/2024 Approved)New York
Registered Investment Advisory firm - (1/23/2024 Terminated)Texas
Registered Investment Advisory firm - (1/23/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5989 Big Tree Rd, Lakeville, NY 14480
Mailing Address
Phone number
(585) 261-4435
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 341 |
| AUM (Assets Under Management) | $ 59,821,806 |
Red Flags
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Company Information
HYJC CAPITAL OF WNY
CRD#: 325574Lakeville, NY 14480TRUST BUT VERIFY
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