Joseph R. Hallos
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.
Joseph Richard Hallos SR, who also goes by Joseph Richard Hallos, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1972. Joseph had worked at 7 firms and has passed the SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2009 - July 16, 2018
ROSS, SINCLAIRE & ASSOCIATES, LLC
December 20, 1996 - December 21, 2009
COMMONWEALTH SECURITIES AND INVESTMENTS, INC.
November 3, 1987 - December 20, 1996
LEGG MASON WOOD WALKER, INCORPORATED
April 27, 1985 - November 3, 1987
LEGG MASON MASTEN INC.
January 18, 1978 - July 30, 1978
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
December 15, 1972 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES 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
PC
Date: 6/1/1977
AMEX Put and Call ExamSeries 1
Date: 7/7/1969
Registered Representative ExaminationCurrent Firm
ROSS, SINCLAIRE & ASSOCIATES, LLC
CRD#: 25440 / SEC#: 801-78513, 8-41740
Contact information
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
