DH
Daniel L. Halle
KESTRA ADVISORY SERVICES
Warren, PA 16365
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CRD#: 2723463
DH
Professional summary
Daniel Lee Halle, who also goes by Dan Halle, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Warren, Pennsylvania and KESTRA INVESTMENT SERVICES, LLC located in Warren, Pennsylvania.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Daniel has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Halle
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.
Business Name: P&A Group Investment Related: No Address: 17 Court Street Buffalo NY 14202 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Other TPA Position, Title or Relationship: Regional Director of Retirement Plan Sales Start Date: 5/18/2015 Hours per month: 41% - 50% (65 - 80 hours) Hours per month during trading hours: 41% - 50% (57 - 70 hours) Duties: Providing consulting and sales for retirement plan department.Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory servicesBusiness Name: Pittsburgh Retirement Professionals Investment Related: No Address: 100 West Station Square Pittsburgh PA 15219 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Board Member Start Date: 8/1/2012 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Volunteer Board member that helps to facilitate the the retirement community services provide by the organization.Business Name: Hospice of Warren County Investment Related: No Address: 1 Main Avenue Warren PA 16365 Nature of Business: Community/Charitable/Civic Volunteer (Non-Leadership Position) Position, Title or Relationship: no title or position simply providing voluntary consulting support on goal setting. Start Date: 8/3/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Providing consulting support to council in goal setting and development efforts of the planned giving council. Business Name: VALIANT RETIRE, INC. POSITION: Partner NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 50 START DATE: 01/14/2022 ADDRESS: 3454 State Route 60, Parish NY 13131 DESCRIPTION: Valiant is my DBA for retirement plan consulting and investment advisory services. Business Name: TRUST CAPITAL FIDUCIARY ADVISORS POSITION: President NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 09/15/2023 ADDRESS: 315 Second Avenue, Suite 209, Warren PA 16365 DESCRIPTION: Retirement plan adminstration. this is done through my other OBA with P&A Group
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Lee Halle's 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®
NoneExperience
Current
April 19, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 315 Second Avenue Suite 209, Warren, PA 16365RIA
CRD#: 283330
Warren, PA
Current
June 29, 2015 - Present
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Warren, PA
Past
June 29, 2015 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
Buffalo, NY
Past
May 15, 2014 - March 4, 2015
FRAGASSO FINANCIAL ADVISORS
RIA
CRD#: 123255
PITTSBURGH, PA
Past
June 6, 2013 - July 1, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
PITTSBURGH, PA
Past
November 6, 2006 - March 21, 2013
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
PITTSBURGH, PA
Past
March 14, 2005 - June 21, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
July 29, 1998 - March 8, 2005
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
March 18, 1996 - May 7, 1997
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/24/2016)
RR
Colorado(6/27/2016)
RR
Connecticut(5/17/2022)
RR
Kentucky(4/19/2022)
RR
Maryland(7/11/2018)
RR
Michigan(3/28/2016)
RR
Minnesota(4/20/2016)
RR
Nevada(4/7/2018)
RR
New Jersey(12/18/2023)
RR
New York(6/29/2015)
IAR
New York(6/7/2021)
RR
North Carolina(3/31/2017)
RR
Ohio(10/12/2021)
RR
Oregon(3/28/2016)
RR
Pennsylvania(6/29/2015)
IAR
Pennsylvania(4/19/2016)
RR
West Virginia(3/31/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Warren, PA 16365TRUST BUT VERIFY
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