Hale Halasy

EAST WEST MARKETS

New York, NY 10022

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CRD#: 1837514

Professional summary

Hale Halasy, who also goes by Hale (nmn) Halasy, is a registered financial professional currently at EAST WEST MARKETS, LLC located in New York, New York and AFW ASSOCIATES LLC located in New York, New York.

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 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Hale (nmn) Halasy

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Hale Halasy's 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®

None

Experience

Current

April 15, 2019 - Present

EAST WEST MARKETS, LLC

Office #1: 535 Madison Avenue 8th Floor, New York, NY 10022

CRD#: 146871

New York, NY

Current

July 30, 2021 - Present

AFW ASSOCIATES LLC

Office #1: 152 West 57th Street 36th Floor, New York, NY 10019

CRD#: 289429

New York, NY

Current

September 13, 2022 - Present

TREE LINE CAPITAL MARKETS, LLC

Office #1: Three Embarcadero Center Suite 2320, San Francisco, CA 94111

CRD#: 317434

San Francisco, CA

Past

December 8, 2022 - January 30, 2023

CGS INTERNATIONAL SECURITIES USA, INC.

CRD#: 141892

NEW YORK, NY

Past

December 10, 2021 - June 6, 2025

UNLU SECURITIES INC.

CRD#: 238786

NEW YORK, NY

Past

November 21, 2017 - July 18, 2023

TORREYA CAPITAL, LLC

CRD#: 288632

NEW YORK, NY

Past

July 7, 2017 - October 9, 2023

CASCADIA CAPITAL, LLC

CRD#: 101020

SEATTLE, WA

Past

May 11, 2016 - March 1, 2017

EQUITYZEN SECURITIES LLC

CRD#: 281820

New York, NY

Past

April 1, 2015 - April 30, 2018

TROUT CAPITAL LLC

CRD#: 131489

NEW YORK, NY

Past

February 24, 2014 - April 8, 2015

HOCKING CAPITAL, LLC

CRD#: 148088

SAN FRANCISCO, CA

Past

February 4, 2014 - May 17, 2021

CCB INTERNATIONAL OVERSEAS (USA) INC.

CRD#: 159795

NEW YORK, NY

Past

August 10, 2012 - December 31, 2016

PEEL HUNT INC.

CRD#: 157321

NEW YORK, NY

Past

September 1, 2009 - September 30, 2011

ALTIMA SECURITIES LP

CRD#: 145477

NEW YORK, NY

Past

October 3, 2008 - September 2, 2009

STERN CAPITAL LLC

CRD#: 131226

NEW YORK, NY

Past

August 8, 1989 - April 14, 1992

NYLIFE SECURITIES LLC

CRD#: 5167

Past

May 23, 1988 - June 27, 1989

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 5/27/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/2/1991

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 8/20/1990

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 5/20/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 8/4/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TREE LINE CAPITAL MARKETS, LLC

CRD#: 317434 / SEC#: , 8-70838

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

Three Embarcadero Center Suite 2320, San Francisco, CA 94111

Mailing Address

Three Embarcadero Center Suite 2320, San Francisco, CA 94111

Phone number

(415) 795-7578

Established

Delaware since 10/01/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
TREE LINE CAPITAL PARTNERS, LLC	SOLE MEMBER	173784
CUPIDO, FRANK ARTHUR	CHIEF EXECUTIVE OFFICER	5003138
HALASY, HALE	CHIEF COMPLIANCE OFFICER	1837514
PORTNOFF, DAVID ROSS	FINOP,PFO,POO	2977967

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Hale Halasy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Hale Halasy's CRS (Customer Relationship Summary).

Certified licenses

Experience

AFW ASSOCIATES LLC

TREE LINE CAPITAL MARKETS, LLC

CGS INTERNATIONAL SECURITIES USA, INC.

UNLU SECURITIES INC.

TORREYA CAPITAL, LLC

CASCADIA CAPITAL, LLC

EQUITYZEN SECURITIES LLC

TROUT CAPITAL LLC

HOCKING CAPITAL, LLC

CCB INTERNATIONAL OVERSEAS (USA) INC.

PEEL HUNT INC.

ALTIMA SECURITIES LP

STERN CAPITAL LLC

NYLIFE SECURITIES LLC

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/27/1988

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/2/1991

Series 22

Date: 8/20/1990

Series 6

Date: 5/20/1988

Series 14

Date: 1/2/2023

Series 24

Date: 8/4/2008

FINRA

Current Firm

TREE LINE CAPITAL MARKETS, LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TREE LINE CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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