Charles L. Halsey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles Lockwood Halsey, who also goes by Chuck Halsey, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 11 firms and has passed the Series 63, Series 7, Series 82 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2010 - August 28, 2013
INTER SECURITIES LTD.
August 28, 2009 - April 1, 2010
MIDDLEBURY SECURITIES LLC
January 3, 2007 - March 13, 2009
HFV INVESTMENTS, LLC
June 20, 2006 - October 26, 2006
PAS CAPITAL, LLC
September 20, 2004 - April 7, 2006
MOORS & CABOT, INC.
October 1, 2002 - January 5, 2004
S F SENTRY SECURITIES, INC.
August 17, 1995 - May 23, 1997
GREENWICH PARTNERS, LLC
November 1, 1993 - July 27, 1995
BELLE HAVEN INVESTMENTS, L.P.
April 26, 1989 - August 30, 1993
CHAPDELAINE TULLETT PREBON, LLC
July 13, 1984 - April 13, 1989
DAHLKE & CO., INC.
December 1, 1983 - May 4, 1984
HARTFIELD, TITUS & DONNELLY, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INTER SECURITIES LTD.
CRD#: 40733 / SEC#: , 8-49177
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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