Craig P. Halica
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.
Craig Peter Halica was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 2001. Craig had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2011 - September 8, 2017
AST INVESTOR SERVICES LLC
January 7, 2005 - October 18, 2011
NATIONAL FINANCIAL SERVICES LLC
June 24, 2003 - January 7, 2005
CORRESPONDENT SERVICES CORPORATION
November 2, 2001 - July 1, 2003
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
AST INVESTOR SERVICES LLC
CRD#: 155050 / SEC#: , 8-68694
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
