Donald J. Halldin
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.
Donald James Halldin was a registered financial advisor .
Donald is a previously registered financial advisor and started their career in finance in 1985. Donald had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 15, Series 3, Series 5 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2004 - December 19, 2008
CWS SECURITIES, LLC
October 30, 2000 - March 5, 2004
LOCKWOOD FINANCIAL SERVICES, INC.
May 12, 1997 - March 5, 2004
LOCKWOOD FINANCIAL SERVICES, INC.
December 18, 1990 - June 19, 1997
PRUDENTIAL EQUITY GROUP, LLC
October 30, 1989 - December 14, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 1988 - November 1, 1989
KIDDER, PEABODY & CO. INCORPORATED
October 23, 1985 - November 29, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 10/3/1985
Foreign Currency Options ExaminationSeries 5
Date: 8/16/1985
Interest Rate Options ExaminationCurrent Firm
CWS SECURITIES, LLC
CRD#: 128498 / SEC#: , 8-66148
Contact information
Documents
Red Flags
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