Joseph L. Moses

HALO INVESTMENT SERVICES

LONE TREE, CO 80124

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CRD#: 2968778

Professional summary

Joseph Lee Moses, who also goes by Lee Moses, is a registered financial advisor currently at HALO INVESTMENT SERVICES, LLC located in Lone Tree, Colorado and HALO SECURITIES, LLC located in Chicago, Illinois.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Joseph has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lee Moses

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.

HALO SECURITIES BROKER DEALER ANNUITY DIRECTOR SINCE 08/2022 INVESTMENT RELATED HALO INVESTMENT SERVICES, LLC INVESTMENT ADVISER INVESTMENT ADVISER REPRESENTATIVE SINCE 08/2023 INVESTMENT RELATED HALO INVESTMENT INSURANCE SERVICES INSURANCE LICENSED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Lee Moses'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®

None

Experience

Current

August 9, 2023 - Present

HALO INVESTMENT SERVICES, LLC

Office #1: 9800 Schwab Way, Lone Tree, CO 80124

RIA

CRD#: 325613

LONE TREE, CO

Current

August 15, 2022 - Present

HALO SECURITIES, LLC

Office #1: 200 West Jackson Suite 1800, Chicago, IL 60606

CRD#: 279029

Chicago, IL

Past

September 9, 2022 - August 9, 2023

ROTHSCHILD WEALTH LLC

RIA

CRD#: 162442

LONE TREE, CO

Past

March 7, 2022 - August 10, 2022

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lone Tree, CO

Past

September 28, 2016 - August 10, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

Lone Tree, CO

Past

September 28, 2016 - August 10, 2022

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

March 30, 2005 - January 25, 2016

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

DENVER, CO

Past

November 19, 2004 - March 29, 2005

TIAA-CREF TRUST COMPANY, FSB

RIA

CRD#: 108579

ST. LOUIS, MO

Past

January 1, 2004 - January 25, 2016

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

DENVER, CO

Past

July 18, 2000 - January 1, 2004

TEACHERS PERSONAL INVESTORS SERVICES, INC.

CRD#: 36130

NEW YORK, NY

Past

January 26, 1999 - March 31, 2000

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

December 2, 1997 - December 2, 1998

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

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".

HALO INVESTMENT SERVICES, LLC

CRD#: 325613 / SEC#: 801-127670

RIA

Registered Investment Advisory firm - (5/4/2023 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.

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

Alabama
(8/22/2022)

Alaska
(9/7/2022)

Arizona
(8/17/2022)

Arkansas
(8/17/2022)

California
(8/17/2022)

Colorado
(8/17/2022)

IAR

Colorado
(8/9/2023)

Connecticut
(8/17/2022)

Delaware
(8/19/2022)

District of Columbia
(8/17/2022)

Florida
(8/17/2022)

Georgia
(8/17/2022)

Hawaii
(12/21/2022)

Idaho
(8/17/2022)

Illinois
(1/25/2023)

Indiana
(8/17/2022)

Iowa
(8/17/2022)

Kansas
(8/17/2022)

Kentucky
(8/17/2022)

Louisiana
(8/17/2022)

Maine
(8/17/2022)

Maryland
(8/17/2022)

Massachusetts
(12/8/2022)

Michigan
(8/17/2022)

Minnesota
(8/17/2022)

Mississippi
(8/17/2022)

Missouri
(8/17/2022)

Montana
(8/17/2022)

Nebraska
(8/17/2022)

Nevada
(8/17/2022)

New Hampshire
(11/28/2022)

New Jersey
(8/17/2022)

New Mexico
(8/17/2022)

New York
(8/17/2022)

North Carolina
(8/17/2022)

North Dakota
(8/17/2022)

Ohio
(8/17/2022)

Oklahoma
(8/22/2022)

Oregon
(8/23/2022)

Pennsylvania
(8/26/2022)

Rhode Island
(8/17/2022)

South Carolina
(8/17/2022)

South Dakota
(8/17/2022)

Tennessee
(8/17/2022)

Texas
(8/17/2022)

Utah
(8/17/2022)

Vermont
(8/17/2022)

Virginia
(8/17/2022)

Washington
(8/17/2022)

West Virginia
(8/17/2022)

Wisconsin
(8/30/2022)

Wyoming
(8/17/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/17/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/4/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/11/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/1/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/24/2017

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 11/18/2013

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

HALO INVESTMENT SERVICES, LLC

CRD#: 325613 / SEC#: 801-127670

RIA

Registered Investment Advisory firm - (5/4/2023 Approved)

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Contact information

Main Address

1129 Northern Blvd. Suite 404, Manhasset, NY 11030

Mailing Address

Phone number

(312) 586-2790

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HALO INVESTMENT SERVICES ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 32,613,734

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.

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Advisor Monitoring

Firm Stability Insights

Joseph L. Moses

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Lee Moses's CRS (Customer Relationship Summary).

Certified licenses

Experience

HALO SECURITIES, LLC

ROTHSCHILD WEALTH LLC

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF TRUST COMPANY, FSB

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TEACHERS PERSONAL INVESTORS SERVICES, INC.

CETERA WEALTH SERVICES, LLC

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Primary Firm SEC Registration

HALO INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/17/2004

Series 63

Date: 12/4/1997

SIE

Date: 10/1/2018

Series 7

Date: 10/11/2004

Series 6

Date: 12/1/1997

Series 24

Date: 2/24/2017

Series 26

Date: 11/18/2013

FINRA

Current Firm

HALO INVESTMENT SERVICES, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HALO INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

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