Dennis Monohan

HALO INVESTMENT SERVICES

CHICAGO, IL 60661

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CRD#: 4308558

Professional summary

Dennis Monohan is a registered financial advisor currently at HALO INVESTMENT SERVICES, LLC located in Chicago, Illinois and HALO SECURITIES, LLC located in Chicago, Illinois.

Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Dennis has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 56, Series 7, Series 21, Series 25 and Series 24 exams.

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, LLC BROKER DEALER REGISTERED REPRESENTATIVE SINCE 10/2021 INVESTMENT RELATED HALO INVESTMENT SERVICES, LLC INVESTMENT ADVISER HEAD OF INVESTMENT SOLUTIONS SINCE 08/2023 INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Monohan'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

August 8, 2023 - Present

HALO INVESTMENT SERVICES, LLC

Office #1: 200 West Jackson Blvd. 18th Floor, Chicago, IL 60661

RIA

CRD#: 325613

CHICAGO, IL

Current

January 9, 2023 - Present

HALO SECURITIES, LLC

Office #1: 200 West Jackson Suite 1800, Chicago, IL 60606

CRD#: 279029

Chicago, IL

Past

August 4, 2018 - August 9, 2023

ROTHSCHILD WEALTH LLC

RIA

CRD#: 162442

Chicago, IL

Past

March 31, 2017 - December 31, 2018

HALO INVESTING, INC.

RIA

CRD#: 283758

CHICAGO, IL

Past

February 27, 2017 - December 19, 2017

FORMIDABLE ASSET MANAGEMENT, LLC

RIA

CRD#: 167555

Chicago, IL

Past

May 12, 2015 - August 3, 2016

EQUITEC PROPRIETARY MARKETS, LLC

CRD#: 113728

CHICAGO, IL

Past

October 1, 2000 - April 3, 2009

BANC OF AMERICA SPECIALIST, INC.

CRD#: 103971

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".

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(8/8/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/5/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/4/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/12/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/5/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 56

Date: 5/12/2015

Proprietary Trader Qualification Examination

General Industry/Product Exam

Series 7

Date: 3/8/2007

General Securities Representative Examination

General Industry/Product Exam

Series 21

Date: 10/19/2000

NYSE Front Line Specialist Clerk

General Industry/Product Exam

Series 25

Date: 10/28/1999

NYSE Trading Assistant Examination

Principal/Supervisory Exam

Series 24

Date: 4/29/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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

SEC notice filing (8 States and Territories)

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 Accounts	3
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.

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Advisor Monitoring

Firm Stability Insights

Dennis Monohan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Monohan's CRS (Customer Relationship Summary).

Certified licenses

Experience

HALO SECURITIES, LLC

ROTHSCHILD WEALTH LLC

HALO INVESTING, INC.

FORMIDABLE ASSET MANAGEMENT, LLC

EQUITEC PROPRIETARY MARKETS, LLC

BANC OF AMERICA SPECIALIST, INC.

Primary Firm SEC Registration

HALO INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/5/2016

Series 63

Date: 6/4/2010

Series 7TO

Date: 9/12/2022

SIE

Date: 8/5/2022

Series 56

Date: 5/12/2015

Series 7

Date: 3/8/2007

Series 21

Date: 10/19/2000

Series 25

Date: 10/28/1999

Series 24

Date: 4/29/2010

FINRA

Current Firm

HALO INVESTMENT SERVICES, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HALO INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

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