David G. Halling

NICH CAPITAL PARTNERS

La Quinta, CA

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CRD#: 1839576

Professional summary

David George Halling is a registered financial advisor currently at NICH CAPITAL PARTNERS, INC. located in La Quinta, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. David has worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Mackie Scientific LLC; non-investment related; 24224 SE 30th St., Sammamish, WA 98075; ECommerce; Co-Founder; State date: 07/2015; Hours per month : 30; Hours per month during trading hours: 30; daily management of ECommerce business. Quinte Financial Technologies; non-investment related; 19 Fulton St., STE 408, New York, NY 01138; Sales; VP of Sales; 07/2022 - present; Hours per month : 160; Hours per month during trading hours: 160; Sales and relationship management.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David George Halling'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®

None

Experience

Current

October 15, 2015 - Present

NICH CAPITAL PARTNERS, INC.

RIA

CRD#: 159260

La Quinta, CA

Past

November 18, 2013 - June 17, 2014

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

SEATTLE, WA

Past

September 17, 2013 - November 19, 2013

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

SEATTLE, WA

Past

December 4, 2007 - November 19, 2013

OPPENHEIMER & CO. INC.

CRD#: 249

SEATTLE, WA

Past

June 26, 2006 - December 6, 2007

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

BELLEVUE, WA

Past

February 19, 1999 - June 28, 2006

D.A. DAVIDSON & CO.

CRD#: 199

SEATTLE, WA

Past

November 9, 1998 - February 19, 1999

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

May 30, 1997 - November 9, 1998

KEY CAPITAL MARKETS, INC.

CRD#: 39832

CLEVELAND, OH

Past

December 20, 1996 - May 20, 1997

VINING-SPARKS IBG, LLC

CRD#: 27502

MEMPHIS, TN

Past

July 7, 1994 - January 6, 1997

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

March 30, 1989 - June 13, 1994

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

June 22, 1988 - September 22, 1988

H.J. MEYERS & CO., INC.

CRD#: 15609

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".

NICH CAPITAL PARTNERS, INC.

NICH CAPITAL PARTNERS, INC. | NICH CAPITAL PARTNERS, LLC

CRD#: 159260 / SEC#: 801-121774

RIA

Registered Investment Advisory firm - (7/16/2021 Approved)

California

Registered Investment Advisory firm - (11/17/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(10/15/2015)

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

IAR

Series 65

Date: 9/17/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/14/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/18/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 3/14/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

NICH CAPITAL PARTNERS, INC.

NICH CAPITAL PARTNERS, INC. | NICH CAPITAL PARTNERS, LLC

CRD#: 159260 / SEC#: 801-121774

RIA

Registered Investment Advisory firm - (7/16/2021 Approved)

California

Registered Investment Advisory firm - (11/17/2021 Terminated)

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Contact information

Main Address

La Quinta, CA

Mailing Address

Phone number

(415) 203-3896

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (1/30/2025)

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 172,584,684

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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Advisor Monitoring

Firm Stability Insights

David G. Halling

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David George Halling's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEYBANC CAPITAL MARKETS INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

KEYBANC CAPITAL MARKETS INC.

D.A. DAVIDSON & CO.

KEYBANC CAPITAL MARKETS INC.

KEY CAPITAL MARKETS, INC.

VINING-SPARKS IBG, LLC

SUTRO & CO. INCORPORATED

CHARLES SCHWAB & CO., INC.

H.J. MEYERS & CO., INC.

Primary Firm SEC Registration

NICH CAPITAL PARTNERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/17/2013

Series 63

Date: 4/14/1989

Series 7

Date: 6/18/1988

Series 8

Date: 3/14/1994

Current Firm

NICH CAPITAL PARTNERS, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NICH CAPITAL PARTNERS, INC.

TRUST BUT VERIFY

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