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DB

Devin D. Brady

HALIFAX AMERICA LLC
Sherman Oaks, CA 91403
Some features on this profile are disabled
CRD#: 3041139
DB

Professional summary

Devin Daniel Brady is a registered financial advisor currently at HALIFAX AMERICA LLC located in Sherman Oaks, California.

Devin is registered as a RR (Registered Representative) and started their career in finance in 2001. Devin has worked at 6 firms and has passed the Series 63, Series 66, Series 99TO, SIE, Series 7, Series 31, Series 14, Series 30, Series 4, Series 24 and Series 28 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Devin Daniel Brady'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

May 28, 2015 - Present

HALIFAX AMERICA LLC

Office #1: 15233 Ventura Blvd. Suite 605, Sherman Oaks, CA 91403Office #2: 5900 Sepulveda Blvd #304, Sherman Oaks, CA 91411
BD
CRD#: 172567
Sherman Oaks, CA
Past

February 2, 2006 - July 20, 2006

ADVANCED EQUITIES, INC.

RIA
CRD#: 35545
CHICAGO, IL
Past

February 1, 2006 - July 20, 2006

ADVANCED EQUITIES, INC.

BD
CRD#: 35545
CHICAGO, IL
Past

January 28, 2005 - April 1, 2005

BOLTON GLOBAL CAPITAL

BD
CRD#: 15650
BOLTON, MA
Past

December 4, 2003 - January 25, 2005

A.G.P. / ALLIANCE GLOBAL PARTNERS

BD
CRD#: 8361
WESTPORT, CT
Past

October 10, 2002 - September 10, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

September 18, 2001 - January 14, 2002

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(8/23/2016)
RR
Arizona
(1/24/2017)
RR
Arkansas
(9/5/2018)
RR
California
(6/22/2015)
RR
Florida
(7/17/2015)
RR
Georgia
(7/24/2015)
RR
Idaho
(7/22/2015)
RR
Illinois
(8/20/2015)
RR
Indiana
(10/6/2016)
RR
Minnesota
(7/22/2015)
RR
Mississippi
(9/16/2015)
RR
Nevada
(7/23/2015)
RR
New Jersey
(10/31/2016)
RR
New Mexico
(11/14/2016)
RR
New York
(8/3/2015)
RR
North Carolina
(8/4/2015)
RR
Ohio
(7/15/2015)
RR
Oregon
(1/11/2018)
RR
Pennsylvania
(6/23/2015)
RR
South Carolina
(10/29/2015)
RR
Texas
(8/6/2015)
RR
Virginia
(8/7/2015)
RR
Wisconsin
(8/20/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 8/23/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 4/18/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 10/22/2002
Futures Managed Funds Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 30
Date: 9/23/2019
NFA Branch Manager Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/31/2014
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/19/2014
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 11/26/2014
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HA
HALIFAX AMERICA LLC
HALIFAX AMERICA LLC

CRD#: 172567 / SEC#: , 8-69511

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
5900 Sepulveda Blvd #304, Sherman Oaks, CA 91411
Mailing Address
5900 Sepulveda Blvd #304, Sherman Oaks, CA 91411
Phone number
(888) 240-7099
Established
Delaware since 05/29/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BRADY, DEVIN DANIELCEO,CCO,AMLCO,FINOP3041139
VARTANIAN, JOSEPH NUBAREXECUTIVE OFFICER / OPERATION AND COMPLIANCE MANAGER4262139

Disclosures

Regulatory Event2

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

HALIFAX AMERICA LLC

CRD#: 172567Sherman Oaks, CA 91403

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