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SP

Sam C. Price

HALO INVESTMENT SERVICES
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 3171636
SP

Professional summary

Sam Clinton Price is a registered financial advisor currently at HALO INVESTMENT SERVICES, LLC located in Chicago, Illinois and HALO SECURITIES, LLC located in Chicago, Illinois.

Sam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Sam has worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 6, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
HALO SECURITIES BROKER DEALER REGISTERED REPRESENTATIVE SINCE 07/2020 INVESTMENT RELATED HALO INVESTMENT SERVICES INVESTMENT ADVISER INVESTMENT ADVISER REPRESENTATIVE SINCE 01/2024 INVESTMENT REALTED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sam Clinton Price'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

February 22, 2024 - Present

HALO INVESTMENT SERVICES, LLC

Office #1: 200 West Jackson Suite 1800, Chicago, IL 60606
RIA
CRD#: 325613
CHICAGO, IL
Current

July 28, 2020 - Present

HALO SECURITIES, LLC

Office #1: 200 West Jackson Suite 1800, Chicago, IL 60606
BD
CRD#: 279029
Chicago, IL
Past

June 14, 2010 - July 13, 2020

INVESCO ADVISERS, INC.

RIA
CRD#: 105360
Downer Grove, IL
Past

June 1, 2010 - July 13, 2020

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
DOWNERS GROVE, IL
Past

June 9, 2005 - June 3, 2010

VAN KAMPEN ADVISORS INC

RIA
CRD#: 104703
OAKBROOK TERRACE, IL
Past

February 17, 1999 - June 1, 2010

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
OAKBROOK TERRACE, IL

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.

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
Illinois
(7/28/2020)
IAR
Illinois
(2/22/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/23/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/22/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/7/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/16/1999
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 4/14/2016
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/2/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

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#: 325613Chicago, IL 60606

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