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Philip Soto

Some features on this profile are disabled
CRD#: 3079204
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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.

Philip Soto was a registered financial professional .

Philip is a previously registered financial professional and started their career in finance in 1998. Philip had worked at 10 firms and has passed the Series 66, Series 63, Series 3, SIE, Series 7 and Series 6 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 15, 2026 - February 2, 2026

HALO INVESTMENT SERVICES, LLC

RIA
CRD#: 325613
Huntington Beach, CA
Past

May 8, 2025 - February 2, 2026

HALO SECURITIES, LLC

BD
CRD#: 279029
CHICAGO, IL
Past

March 1, 2019 - September 12, 2024

T. ROWE PRICE ASSOCIATES, INC.

RIA
CRD#: 105496
Huntington Beach, CA
Past

March 1, 2018 - March 6, 2019

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA
CRD#: 108958
San Francisco, CA
Past

October 31, 2017 - September 12, 2024

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD
CRD#: 8348
BALTIMORE, MD
Past

October 30, 2008 - August 12, 2009

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

September 17, 2004 - June 3, 2008

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA
Past

January 16, 2003 - August 24, 2004

FISERV INVESTOR SERVICES, INC.

BD
CRD#: 34637
HOUSTON, TX
Past

May 21, 2002 - January 2, 2003

CAL FED INVESTMENTS

BD
CRD#: 19631
SACRAMENTO, CA
Past

September 10, 1998 - September 18, 1998

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

September 10, 1998 - February 11, 2002

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA

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".
HI
HALO INVESTMENT SERVICES, LLC
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/28/2018
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/22/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 9/30/2021
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/31/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/9/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

HI
HALO INVESTMENT SERVICES, LLC
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
15

SEC notice filing (8 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

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

Regulatory assets under management

Total Number of Accounts3
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.

Company Information

HALO INVESTMENT SERVICES, LLC

CRD#: 325613

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