Christopher J. Sullivan

HALO INVESTMENT SERVICES

ALISO VIEJO, CA

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CRD#: 5002600

Professional summary

Christopher John Sullivan, who also goes by Christopher Sullivan, is a registered financial advisor currently at HALO INVESTMENT SERVICES, LLC located in Aliso Viejo, California and HALO SECURITIES, LLC located in Chicago, Illinois.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Christopher has worked at 5 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Christopher Sullivan

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 CHICAGO IL BROKER DEALER REGISTERED REPRESENTATIVE SINCE 06/2020 INVESTMENT RELATED 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 Christopher John Sullivan'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 11, 2023 - Present

HALO INVESTMENT SERVICES, LLC

RIA

CRD#: 325613

ALISO VIEJO, CA

Current

August 6, 2020 - Present

HALO SECURITIES, LLC

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

CRD#: 279029

Chicago, IL

Past

November 17, 2021 - August 9, 2023

ROTHSCHILD WEALTH LLC

RIA

CRD#: 162442

CHICAGO, IL

Past

September 21, 2005 - July 19, 2017

LORD, ABBETT & CO. LLC

RIA

CRD#: 110391

Aliso Viejo, CA

Past

August 23, 2005 - July 19, 2017

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

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

Arizona
(1/27/2025)

California
(8/28/2020)

IAR

California
(10/30/2024)

Hawaii
(11/16/2021)

Illinois
(9/2/2020)

IAR

Illinois
(8/11/2023)

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

Series 63

Date: 8/27/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/20/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/19/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/22/2005

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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Advisor Monitoring

Firm Stability Insights

Christopher J. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher John Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

HALO SECURITIES, LLC

ROTHSCHILD WEALTH LLC

LORD, ABBETT & CO. LLC

LORD ABBETT DISTRIBUTOR LLC

Primary Firm SEC Registration

HALO INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/27/2020

Series 66

Date: 9/20/2005

SIE

Date: 7/19/2017

Series 7

Date: 8/22/2005

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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