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JV

Joseph N. Vartanian

HALIFAX AMERICA LLC
Sherman Oaks, CA 91411
Some features on this profile are disabled
CRD#: 4262139
JV

Professional summary

Joseph Nubar Vartanian is a registered financial professional currently at HALIFAX AMERICA LLC located in Sherman Oaks, California.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2000. Joseph has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 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 Joseph Nubar Vartanian'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

October 11, 2017 - Present

HALIFAX AMERICA LLC

Office #1: 5900 Sepulveda Blvd #304, Sherman Oaks, CA 91411
BD
CRD#: 172567
Sherman Oaks, CA
Past

January 30, 2001 - May 14, 2001

FIRST SECURITY INVESTMENTS, INC.

BD
CRD#: 24035
KINGSTON, PA
Past

November 15, 2000 - February 1, 2001

PIM FINANCIAL SERVICES, INC.

BD
CRD#: 10547
SAN MARCOS, CA

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
Series 63
Date: 9/25/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 12/3/2016
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/16/2019
General Securities 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 91411

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