Hale Halasy
Professional Summary
Hale Halasy, who also goes by Hale (nmn) Halasy, is a registered financial advisor currently at EAST WEST MARKETS, LLC located in New York, New York and TREE LINE CAPITAL MARKETS, LLC located in San Francisco, California. Hale is registered as a RR (Registered Representative) and started their career in finance in 1988. Hale has worked at 16 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 22, Series 6, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Hale (nmn) Halasy
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
TREE LINE CAPITAL MARKETS, LLC
Contact Information
Main Address
Three Embarcadero Center Suite 2320, San Francisco, CA 94111Mailing Address
Three Embarcadero Center Suite 2320, San Francisco, CA 94111Phone Number
(415) 795-7578Established
Delaware since 10/01/2021Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Aug 1990About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1988About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Hale Halasy's CRS (Customer Relationship Summary).
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