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CW

Christopher C. Warren

HALO INVESTMENT SERVICES
KISSIMMEE, FL
Some features on this profile are disabled
CRD#: 4299799
CW

Professional summary

Christopher Churchman Warren is a registered financial advisor currently at HALO INVESTMENT SERVICES, LLC located in Kissimmee, Florida and HALO SECURITIES, LLC located in Chicago, Illinois.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Christopher has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 24, Series 23, Series 10 and Series 9 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.
A50 Real Assets Limited - Investment-Related - Room 14, The Grand Oasis, 1/F Tung Po, 2 Tsat Po Street, San Po Kong, Kowloon, Hong Kong - Professional boutique advisory firm dedicated to thematic global real estate investments - Advisory Panel Member - June 2020 - 1 hour per year - Advisory Panel Member Halo Securities, LLC Broker Dealer Global Head of Strategy Since 08/2021 Investment Related Halo Investment Services, LLC Investment Adviser Head of Asset & Wealth Management Since 02/2024 Investment Related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Churchman Warren'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

March 18, 2024 - Present

HALO INVESTMENT SERVICES, LLC

RIA
CRD#: 325613
KISSIMMEE, FL
Current

February 27, 2024 - Present

HALO SECURITIES, LLC

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

January 31, 2014 - May 1, 2018

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
NEW YORK, NY
Past

October 10, 2006 - February 22, 2012

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
NEW YORK, NY
Past

December 2, 2002 - August 24, 2006

ABN AMRO INCORPORATED

BD
CRD#: 15776
NEW YORK, NY
Past

October 3, 2001 - August 7, 2002

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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
Florida
(7/2/2024)
IAR
Florida
(7/17/2024)
IAR
Illinois
(3/18/2024)
RR
Illinois
(8/5/2024)
RR
Minnesota
(3/18/2024)
IAR
Minnesota
(3/18/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/12/2024
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/10/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/26/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/2/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/4/2024
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 23
Date: 6/4/2007
General Securities Principal Sales Supervisor
Principal/Supervisory Exam
RR
Series 10
Date: 6/29/2006
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/12/2005
General Securities Sales Supervisor - Options Module 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#: 325613Kissimmee, FL

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