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SH

Stephen G. Halley

EQUITY INVESTMENT CORP
Atlanta, GA 30309
Some features on this profile are disabled
CRD#: 2747484
SH

Professional summary

Stephen Gaylord Halley, CIMA®, who also goes by Steve Halley, is a registered financial advisor currently at EQUITY INVESTMENT CORP located in Atlanta, Georgia and FORESIDE FUNDS DISTRIBUTORS LLC located in Atlanta, Georgia.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Stephen has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Steve Halley

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.
EQUITY INVESTMENT CORPORATION, REDWOOD CITY, CA, INVESTMENT RELATED-ASSET MANAGER, START DATE 09/03/2019, SENIOR DIRECTOR, RESPONSIBLE FOR MARKETING AND SELLING SMAS/MFS TO FINANCIAL ADVISORS, 160 HOURS PER MONTH WITH 130 DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Gaylord Halley's CRS (Customer Relationship Summary).
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®
CIMA®

Certified Investment Management Analyst

Experience

Current

October 3, 2019 - Present

EQUITY INVESTMENT CORP

Office #1: 1776 Peachtree Street Nw Suite 600s, Atlanta, GA 30309
RIA
CRD#: 283930
Atlanta, GA
Current

September 30, 2019 - Present

FORESIDE FUNDS DISTRIBUTORS LLC

Office #1: 1776 Peachtree Street Nw Suite 600s, Atlanta, GA 30309
BD
CRD#: 31334
Atlanta, GA
Past

October 26, 2017 - September 5, 2019

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

July 28, 2016 - September 6, 2017

WESTEND ADVISORS, LLC

RIA
CRD#: 133279
CHARLOTTE, NC
Past

April 1, 2014 - July 26, 2016

ROOSEVELT INVESTMENTS

RIA
CRD#: 107853
NEW YORK CITY, NY
Past

March 25, 2014 - July 12, 2016

UNIFIED FINANCIAL SECURITIES, LLC

BD
CRD#: 7868
INDIANAPOLIS, IN
Past

January 14, 2009 - September 20, 2013

ROOSEVELT INVESTMENTS

RIA
CRD#: 107853
MIAMI, FL
Past

May 5, 2008 - September 26, 2013

UNIFIED FINANCIAL SECURITIES, LLC

BD
CRD#: 7868
INDIANAPOLIS, IN
Past

January 4, 2007 - January 8, 2008

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
WINDSOR, CT
Past

August 6, 2002 - January 3, 2007

ING INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 21644
NEW YORK, NY
Past

May 2, 2001 - August 8, 2002

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

October 20, 1999 - May 2, 2001

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA
Past

October 29, 1998 - April 8, 1999

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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".
EI
EQUITY INVESTMENT CORP
BZI PARTNERS, LLC | FIVE FALLS CAPITAL PARTNERS, LLC | EQUITY INVESTMENT CORPORATION ACQUISITION, INC. | EQUITY INVESTMENT CORPORATION | EQUITY INVESTMENT CORP

CRD#: 283930 / SEC#: 801-107945

RIA
Registered Investment Advisory firm - (6/15/2016 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
Alaska
(9/30/2019)
RR
California
(9/30/2019)
IAR
Georgia
(10/8/2019)
RR
Hawaii
(9/30/2019)
RR
Idaho
(9/30/2019)
RR
Montana
(9/30/2019)
RR
Nevada
(9/30/2019)
RR
Oregon
(9/30/2019)
IAR
Texas
(10/3/2019)
RR
Washington
(9/30/2019)
RR
Wyoming
(9/30/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/13/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/23/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/27/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EI
EQUITY INVESTMENT CORP
BZI PARTNERS, LLC | FIVE FALLS CAPITAL PARTNERS, LLC | EQUITY INVESTMENT CORPORATION ACQUISITION, INC. | EQUITY INVESTMENT CORPORATION | EQUITY INVESTMENT CORP

CRD#: 283930 / SEC#: 801-107945

RIA
Registered Investment Advisory firm - (6/15/2016 Approved)
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Contact information

Main Address
1776 Peachtree Street Nw Suite 600s, Atlanta, GA 30309
Mailing Address
Phone number
(404) 239-0111
Established
Firm type
Fiscal year end
# of Employees
26

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

EQUITY INVESTMENT CORPORATION ADV 2A & 2B DATED MARCH 27, 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts6,039
AUM (Assets Under Management)$ 3,051,151,512

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.

Company Information

EQUITY INVESTMENT CORP

CRD#: 283930Atlanta, GA 30309

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