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RP

Ronald H. Prior

HALLIDAY FINANCIAL
Clifton Park, NY 12065
Some features on this profile are disabled
CRD#: 4702507
RP

Professional summary

Ronald H Prior is a registered financial professional currently at HALLIDAY FINANCIAL, LLC located in Clifton Park, New York.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 2003. Ronald has worked at 3 firms and has passed the Series 63, SIE and Series 6 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 Ronald H Prior'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 4, 2017 - Present

HALLIDAY FINANCIAL, LLC

Office #1: 4 Executive Park Drive, Clifton Park, NY 12065
BD
CRD#: 31741
Clifton Park, NY
Past

September 26, 2003 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
LATHAM, NY
Past

September 26, 2003 - March 10, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
LATHAM, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New York
(8/4/2017)
RR
Virginia
(8/4/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 10/10/2003
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 6
Date: 9/25/2003
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HF
HALLIDAY FINANCIAL, LLC
HALLIDAY FINANCIAL, LLC | HRC SERVICES, INC. | HRC INVESTMENT SERVICES, INC.

CRD#: 31741 / SEC#: , 8-45529

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
725 Glen Cove Avenue, Glen Head, NY 11545
Mailing Address
725 Glen Cove Anuene, Glen Head, NY 11545
Phone number
(516) 671-1099
Established
New York since 05/13/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 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#
HRC INVESTMENT SERVICES, INC.DIRECT PARENT OF HALLIDAY FINANCIAL, LLC
PINO, RACHEL HOLSTEFINOP, CCO, SUPERVISOR2381976

Disclosures

Regulatory Event1

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

HALLIDAY FINANCIAL, LLC

CRD#: 31741Clifton Park, NY 12065

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