James D. Hallett

HALLETT ADVISORS

Port Angeles, WA 98362

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CRD#: 1693123

Professional summary

James Dennis Hallett, CFP®, who also goes by Jim Hallett, is a registered financial advisor currently at HALLETT ADVISORS located in Port Angeles, Washington.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. James has worked at 5 firms and has passed the Series 63, Series 31, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Hallett

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) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2) N OLYMPIC YOUTH CENTER NON-INVEST RELATED, 535 E. FIRST ST., PORT ANGELES, WA 98362; BOARD MEMBER, SINCE 1/1/02; 2 HRS/MO TRADE/HRS. 3)EVERBANK ADVISOR SERVICES, 321 E. FIRST ST, PORT ANGELES, WA 98362 BEGAN 6/1/04 AS EMPLOYEE, REFERRING CLIENTS TO MORTGAGE SERVICES. NON INVEST RELATED. DEVOTES 4 HRS/MNTH, 4 HRS/MNTH DURING TRADE. 4)OLYMPIC PUBLISHING, 147 W WASHINGTON, SEQUIM, WA 98382. BEGAN 4/08 AS FREELANCE WRITE. DEVOTES 3 HRS/MNTH 0/TRADE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Dennis Hallett'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®

CFP^®

Certified Financial Planner

Start date: 1991

Experience

Current

November 25, 2019 - Present

HALLETT ADVISORS

Office #1: 1506 East First Street, Port Angeles, WA 98362

RIA

CRD#: 306187

Port Angeles, WA

Past

January 13, 2004 - October 15, 2009

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

PORT ANGELES, WA

Past

April 8, 2002 - January 14, 2004

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

PORT ANGELES, WA

Past

November 25, 1998 - December 4, 2019

HALLETT ADVISORS

RIA

CRD#: 115970

PORT ANGELES, WA

Past

October 23, 1998 - January 14, 2004

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

June 24, 1987 - October 28, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

HALLETT ADVISORS

HALLET ADVISORS | HALLETT INVESTMENTS, LLC | HALLETT ADVISORS

CRD#: 306187 / SEC#: 801-117651

RIA

Registered Investment Advisory firm - (11/18/2019 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

Texas
(5/19/2021)

IAR

Washington
(11/25/2019)

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: 7/6/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 10/8/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/24/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/29/1999

General Securities Principal Examination

Current Firm

HALLETT ADVISORS

HALLET ADVISORS | HALLETT INVESTMENTS, LLC | HALLETT ADVISORS

CRD#: 306187 / SEC#: 801-117651

RIA

Registered Investment Advisory firm - (11/18/2019 Approved)

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Contact information

Main Address

1506 East First Street, Port Angeles, WA 98362

Mailing Address

P.o. Box 3050, Port Angeles, WA 98362

Phone number

(360) 457-6000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HALLETT INVESTMENTS, LLC DISCLOSURE BROCHURE (2/20/2025)

Regulatory assets under management

Total Number of Accounts	746
AUM (Assets Under Management)	$ 145,197,577

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.

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Firm Stability Insights

James D. Hallett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Dennis Hallett's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

FIRST ALLIED SECURITIES, INC.

HALLETT ADVISORS

FIRST ALLIED SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

HALLETT ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 7/6/1987

Series 31

Date: 10/8/2008

Series 7

Date: 6/20/1987

Series 51

Date: 3/24/2003

Series 24

Date: 1/29/1999

Current Firm

HALLETT ADVISORS

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HALLETT ADVISORS

TRUST BUT VERIFY

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