Frank T. Madalone

HALO INVESTMENT SERVICES

FAIR HAVEN, NJ

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CRD#: 4933293

Professional summary

Frank Thomas Madalone is a registered financial advisor currently at HALO INVESTMENT SERVICES, LLC located in Fair Haven, New Jersey and HALO SECURITIES, LLC located in Chicago, Illinois.

Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Frank has worked at 5 firms and has passed the Series 66, Series 63, Series 57TO, Series 79TO, SIE, Series 55 and Series 7 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 BROKER DEALER SALES LEADERSHIP/REGISTERED REP SINCE 11/2021 INVESTMENT REALTED HALO INVESTMENT SERVICES, LLC INVESTMENT ADVISER INVESTMENT ADVISER REPRESENTATIVE SINCE 08/2023 INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Thomas Madalone'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 18, 2023 - Present

HALO INVESTMENT SERVICES, LLC

RIA

CRD#: 325613

FAIR HAVEN, NJ

Current

January 18, 2022 - Present

HALO SECURITIES, LLC

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

CRD#: 279029

Chicago, IL

Past

January 28, 2022 - August 9, 2023

ROTHSCHILD WEALTH LLC

RIA

CRD#: 162442

FAIR HAVEN, NJ

Past

February 14, 2006 - November 18, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

JERSEY CITY, NJ

Past

September 26, 2005 - November 18, 2021

TD AMERITRADE, INC.

CRD#: 7870

JERSEY CITY, NJ

Past

May 10, 2005 - August 25, 2005

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

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.

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

New Jersey
(1/18/2022)

IAR

New Jersey
(8/18/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/13/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/19/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/15/2016

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/9/2005

General Securities Representative 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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Firm Stability Insights

Frank T. Madalone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Thomas Madalone's CRS (Customer Relationship Summary).

Certified licenses

Experience

HALO SECURITIES, LLC

ROTHSCHILD WEALTH LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

Primary Firm SEC Registration

HALO INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/13/2006

Series 63

Date: 5/19/2005

Series 57TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/15/2016

Series 7

Date: 5/9/2005

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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