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DH

Demitrios Hallas

Some features on this profile are disabled
CRD#: 4199832
DH

Professional summary

Demitrios Hallas was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Demitrios is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Demitrios had worked at 11 firms, which includes PHX FINANCIAL INC., FOREFRONT CAPITAL MARKETS LLC, SANTANDER SECURITIES LLC, AEGIS CAPITAL CORP., CHASE INVESTMENT SERVICES CORP., PNC WEALTH MANAGEMENT LLC, AMERIPRISE FINANCIAL SERVICES LLC, SORRENTO PACIFIC FINANCIAL LLC, KEYBANC CAPITAL MARKETS INC., HSBC BROKERAGE (USA) INC., WELLS FARGO CLEARING SERVICES LLC.

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)

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

August 3, 2015 - December 3, 2015

PHX FINANCIAL, INC.

BD
CRD#: 144403
NEW YORK, NY
Past

October 1, 2014 - July 28, 2015

FOREFRONT CAPITAL MARKETS LLC

BD
CRD#: 151812
NEW YORK, NY
Past

August 19, 2013 - June 3, 2014

SANTANDER SECURITIES LLC

RIA
CRD#: 41791
NEW YORK, NY
Past

May 6, 2013 - June 3, 2014

SANTANDER SECURITIES LLC

BD
CRD#: 41791
NEW YORK, NY
Past

July 9, 2012 - May 6, 2013

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

June 27, 2011 - March 26, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
NEW YORK, NY
Past

June 27, 2011 - March 26, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
NEW YORK, NY
Past

August 30, 2010 - June 16, 2011

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
NEW YORK, NY
Past

July 21, 2010 - June 16, 2011

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
NEW YORK, NY
Past

June 13, 2008 - June 16, 2010

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
TARRYTOWN, NY
Past

May 1, 2008 - June 16, 2010

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
TARRYTOWN, NY
Past

October 8, 2007 - May 9, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MAMARONECK, NY
Past

February 23, 2007 - August 10, 2007

SORRENTO PACIFIC FINANCIAL, LLC

BD
CRD#: 127787
PINE PLAINS, NY
Past

April 24, 2003 - February 7, 2005

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

March 10, 2003 - May 29, 2003

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

April 26, 2002 - December 6, 2002

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY
Past

May 22, 2001 - April 19, 2002

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO

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
IAR
Series 65
Date: 6/12/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/25/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/3/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/31/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/21/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/1/2009
General Securities Principal Examination

Current Firm

PF
PHX FINANCIAL, INC.
BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Wall Street Floor 10, New York, NY 10005
Mailing Address
100 Wall Street Floor 10, New York, NY 10005
Phone number
(212) 776-4187
Established
Florida since 12/27/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LPPARENT OF BROKER DEALER
CHEN, KEVINCEO4871316
GILMAN, ROBERT CRAIGFINOP - PFO1738412
MONTANA, JOSEPH RYANROSFP, MSRB PRINCIPAL5640919
OTOYA, DANIEL ORLANDOCHIEF COMPLIANCE OFFICER2208241

Disclosures

Regulatory Event4
Arbitration2

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

PHX FINANCIAL, INC.

CRD#: 144403

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