John B. Hallett
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.
John Bradley Hallett, ChFC®, who also goes by Brad Hallett, J Brad Hallett, John B Hallett, John Brad Hallett, John Bradley Hallett, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2019 - September 9, 2022
PAX FINANCIAL GROUP
July 29, 2010 - November 21, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
September 14, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
September 14, 2001 - October 11, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 6, 1997 - May 10, 2001
IDS LIFE INSURANCE COMPANY
March 6, 1997 - May 10, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
PAX FINANCIAL GROUP
CRD#: 284164 / SEC#: 801-107918
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
PAX FINANCIAL GROUP
CRD#: 284164 / SEC#: 801-107918
Contact information
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,249 |
| AUM (Assets Under Management) | $ 728,473,115 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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