MH
Mark A. Halvorsen
GRAY OAK CAPITAL MANAGEMENT
Greenwich, CT 06830
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CRD#: 4750852
MH
Professional summary
Mark Andrew Halvorsen, who also goes by Mark A Halvorsen, Mark Andrew Halvorsen, is a registered financial advisor currently at GRAY OAK CAPITAL MANAGEMENT, LLC located in Greenwich, Connecticut and GRAY OAK CAPITAL, LLC located in Greenwich, Connecticut.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Mark has worked at 5 firms and has passed the Series 65, Series 63, Series 57TO, Series 79TO, SIE, Series 3, Series 55, Series 7, Series 6, Series 27, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark A Halvorsen | Mark Andrew Halvorsen
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.
1.) Gray Oak Capital Management, LLC; Investment related; 537 Steamboat Road, Suite 200 Greenwich, CT 06830; Exempt Reporting Advisor; CEO/CCO; 2018; 10 hrs per month; 1 hr during trading; Investment Advisor. 2.) Aegir Holdings LLC; non-investment related; 55 Old Field Point Road, CT 06820; Managing Member; limit hours - none during trading hours; LLC will be utilized to buy/lease vending machines; October 2025. 3.) Intelligent Machines Group, LLC; non-investment related; 55 Old Field Point Road, CT 06820; Managing Member and 100% owner; Operating Company for vending machines; approx 4 hours per month, none during trading hours; October 2025.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Andrew Halvorsen's 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®
NoneExperience
Current
January 21, 2021 - Present
GRAY OAK CAPITAL MANAGEMENT, LLC
Office #1: 55 Old Field Point Road, Greenwich, CT 06830RIA
CRD#: 293681
Greenwich, CT
Current
April 16, 2019 - Present
GRAY OAK CAPITAL, LLC
Office #1: 55 Old Field Point Road Suite 200, Greenwich, CT 06830Office #2: 55 Old Field Point Road, Greenwich, CT 06830BD
CRD#: 290056
Greenwich, CT
Past
February 5, 2020 - December 31, 2020
GRAY OAK CAPITAL MANAGEMENT, LLC
RIA
CRD#: 293681
GREENWICH, CT
Past
March 6, 2017 - January 16, 2019
VELOCITY CAPITAL, LLC
BD
CRD#: 171810
NEW YORK, NY
Past
November 3, 2005 - April 16, 2015
MAPLE SECURITIES U.S.A. INC.
BD
CRD#: 33947
JERSEY CITY, NJ
Past
April 7, 2004 - July 7, 2005
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
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
California(9/29/2020)
RR
Colorado(11/22/2020)
RR
Connecticut(4/30/2019)
IAR
Connecticut(1/21/2021)
RR
District of Columbia(12/18/2020)
RR
Florida(10/28/2020)
RR
Illinois(12/1/2020)
RR
Maryland(2/12/2025)
RR
Massachusetts(10/21/2020)
RR
Michigan(8/27/2021)
RR
Minnesota(11/3/2020)
RR
Nebraska(2/11/2025)
RR
New Jersey(9/21/2020)
RR
New York(9/1/2020)
IAR
New York(9/29/2023)
RR
North Carolina(1/29/2025)
RR
Ohio(2/14/2025)
RR
Oklahoma(1/28/2025)
RR
Pennsylvania(1/16/2025)
RR
Texas(10/18/2020)
RR
Washington(9/1/2020)
RR
Wisconsin(2/7/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/7/2020
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/8/2006
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GO
GRAY OAK CAPITAL MANAGEMENT, LLC
GRAY OAK CAPITAL MANAGEMENT, LLC
CRD#: 293681 / SEC#: 802-114088
RIA
Registered Investment Advisory firm - (8/29/2018 Terminated)Connecticut
Registered Investment Advisory firm - (1/21/2021 Approved)New York
Registered Investment Advisory firm - (9/29/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
55 Old Field Point Road, Greenwich, CT 06830
Mailing Address
Phone number
(203) 987-0015
Established
Firm type
Fiscal year end
# of Employees
4
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 50,281,642 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 12/9/2019 |
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.
