Senior Supervisory Principal
Current
Investment Industry
May 2014 - Present
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James Haupt Email & Phone Number
Senior Supervisory Principal
at
Investment Industry
LinkedIn matched
✓ Verified July 2026
2 data sources
Profile completeness 86%
Current company
Investment Industry
Role
Senior Supervisory Principal
Location
Greater New Orleans Region, United States
Who is James Haupt? Overview
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Quick answer
James Haupt is listed as Senior Supervisory Principal at Investment Industry, based in Greater New Orleans Region, United States. AeroLeads shows a matched LinkedIn profile for James Haupt.
James Haupt previously worked as Wealth Manager at Planning Associates and Manager Financial Services at Prudential Financial.
Profile bio
About James Haupt
Jim has been actively involved in the Investment Industry for over 28 years. From management, product development, product training, retail sales to institutional sales, Jim has been on the forefront of the managed product supply. After many years of working at the National level with a large wirehouse, he has worked with small boutique groups with the same zeal. As a husband and father of two sons with active sporting lives, our experiences in work and life are always busy.FINRA Licensed Series 6,7,24,63,65, SIEInsurance Licensed Life, Variable Contract and Property & Casualty
Listed skills include Annuity, Mutual Funds, Public Speaking, Ira'S, and 36 others.
Current workplace
James Haupt's current company
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Investment Industry
10 roles
James Haupt work experience
A career timeline built from the work history available for this profile.
Wealth Manager
Planning Associates
Institutional sales and money management and Retail sales to High Net-Worth clientsAsset based management consultant and portfolio manager
Apr 2012 - May 2014
Manager Financial Services
Utilizing a vast experience of industry knowledge, we built an exciting opportunity for experienced producers in the New Orleans metro area. Ideally, we placed experienced planners (CFP, ChFC, etc.) into our dynamic value proposition offering state-of-art products, technology and compensation models.
Apr 2010 - Mar 2012
Principal - Advisor
Lakeview Financial Services, Llc
Institutional sales and money management and Retail sales to High Net-Worth clients Asset based management consultant and portfolio manager
Jan 2009 - May 2010
Vice-President
Vice-President, Institutional Sales/Wholesaler· Territory was the State of Louisiana.· Responsible for the sale, marketing & compliance in proprietary portfolio management.· Development of the Louisiana Hospital Investment Pool (LHIP). · Increased assets under management from $0 to $80,000,000.00 in three years.· Extensive Public Speaking – Large and Small Audiences
Feb 2004 - Aug 2008
Financial Advisor
Ubs/Painewebber/J
Retirement Plan Consultant (RPC) - Branch Office Insurance, Mutual Fund and Separate Accounts CoordinatorRetail and Institutional sales.Coordinate sales and marketing for packaged products effort for a 50 person sales office.As RPC, concentrated in sales of retirement plans using vendor and proprietary products to private industry as well as public municipalities.As Branch Coordinator, utilized experience and position to increase branch position to the top ten in the U.S. in packaged product sales.Extensive Public Speaking - Large and Small Audiences
Jan 1997 - Jan 2004
Investment Officer, System Coordinator
Securites Corporation
Coordinated all investment services, marketing and operation plan for bank with third-party provider.Developed complete retirement plan marketing system for bank.Assets under management went from $0 in 1995 to $25 million in 1997.
Jan 1995 - Jan 1997
Director
First Financial Capital Corporation
Marketed third-party Administration for large institutional client base.Coordinate sales and marketing for four offices located in LA.Client base increased from 3,000 to over 25,000 in 6 years.FFCC Due-Diligence CommitteeExtensive Public Speaking - Large and Small Audiences
Jan 1990 - Jan 1995
Financial Consultant
Transamerica Financial Resources
Provide sales and service of retail investment products.
Jan 1989 - Jan 1990
Vice-President, Product Manager
Howard, Weil
Automated Mutual Fund Department for firm.Automated Retirement Plan/IRA Department for firm.Managed departmental P&L.Annual sales from first year of operation, $17,000,000 with 45 brokers.1989 sales were in excess of $225,000,000 with 75 brokers.Extensive Public Speaking - Large and Small Audiences
Jan 1981 - Jan 1989
FAQ
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What company does James Haupt work for?
James Haupt works for Investment Industry.
What is James Haupt's role at Investment Industry?
James Haupt is listed as Senior Supervisory Principal at Investment Industry.
Where is James Haupt based?
James Haupt is based in Greater New Orleans Region, United States while working with Investment Industry.
What companies has James Haupt worked for?
James Haupt has worked for Investment Industry, Planning Associates, Prudential Financial, Lakeview Financial Services, Llc, and Bancorpsouth.
How can I contact James Haupt?
You can use AeroLeads to view verified contact signals for James Haupt at Investment Industry, including work email, phone, and LinkedIn data when available.
What skills is James Haupt known for?
James Haupt is listed with skills including Annuity, Mutual Funds, Public Speaking, Ira'S, Long Term Care, Retirement, Series 7, and Etfs.
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