Tor W. Hall
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.
Tor Warren Hall, who also goes by Tor Hall, was a registered financial professional .
Tor is a previously registered financial professional and started their career in finance in 1993. Tor had worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2018 - November 3, 2023
UNITED CAPITAL FINANCIAL ADVISORS
November 24, 2016 - March 14, 2018
ALPHAMAX DISTRIBUTORS, L.L.C.
February 10, 2015 - November 15, 2016
CEDAR CAPITAL, LLC
October 27, 2014 - November 18, 2016
FORESIDE FUND SERVICES, LLC
June 6, 2013 - January 2, 2015
GOOD HARBOR FINANCIAL
February 18, 2013 - October 28, 2014
NORTHERN LIGHTS DISTRIBUTORS, LLC
June 16, 2010 - March 31, 2011
LYONS WEALTH MANAGEMENT
September 16, 2003 - February 17, 2005
CHURCHILL MANAGEMENT GROUP
September 16, 2003 - May 19, 2006
FISHER INVESTMENTS
October 7, 1998 - March 11, 2002
SECURIAN FINANCIAL SERVICES, INC.
May 6, 1997 - June 12, 1997
TRANSAMERICA CAPITAL, LLC
April 20, 1994 - August 31, 1995
UBS FINANCIAL SERVICES INC.
November 1, 1993 - March 5, 1994
INVEST FINANCIAL CORPORATION
September 29, 1993 - April 25, 1994
INVESTMENT CENTERS OF AMERICA, INC.
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
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
Current Firm
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
