Jennifer L. Halsey
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.
Jennifer Lloyd Halsey, who also goes by Susan Jennifer Lloyd, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 1994. Jennifer had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2016 - July 12, 2019
TM CAPITAL LLC
July 19, 2000 - January 28, 2013
ASANTE PARTNERS LLC
February 2, 1999 - April 25, 2000
EGS SECURITIES CORP.
July 30, 1996 - May 20, 1997
PUNK, ZIEGEL & COMPANY, L.P.
September 11, 1994 - July 18, 1996
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 8/26/1994
Corporate Securities Limited Representative ExaminationCurrent Firm
TM CAPITAL LLC
CRD#: 27438 / SEC#: , 8-42193
Contact information
Documents
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.
