Douglas F. Halliday
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Douglas Findley Halliday JR, CFP®, who also goes by Douglas F Halliday Jr, Douglas F Halliday, Douglas Findley Halliday Jr Jr, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2002. Douglas had worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2019
Experience
January 14, 2021 - May 3, 2023
OCEAN FINANCIAL ADVISORS LLC
January 9, 2020 - May 3, 2023
OCEAN FINANCIAL SERVICES, LLC
April 21, 2017 - January 22, 2020
AMERANT INVESTMENTS, INC.
February 22, 2017 - January 22, 2020
AMERANT INVESTMENTS, INC.
May 11, 2015 - January 10, 2017
J.P. MORGAN SECURITIES LLC
May 29, 2007 - July 2, 2007
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - July 2, 2007
CITIGROUP GLOBAL MARKETS INC.
February 16, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
February 14, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
June 20, 2005 - January 3, 2006
MORGAN STANLEY DW INC.
June 16, 2005 - January 3, 2006
MORGAN STANLEY DW INC.
July 23, 2002 - December 31, 2003
PFS INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
OCEAN FINANCIAL ADVISORS LLC
CRD#: 291950 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 8,483,795 |
Red Flags
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