John D. Hale

WORTH ASSET MANAGEMENT

WAXAHACHIE, TX 75165

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CRD#: 5007306

Professional summary

John David Hale is a registered financial advisor currently at WORTH ASSET MANAGEMENT located in Waxahachie, Texas.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. John has worked at 3 firms and has passed the Series 65, Series 66, Series 31 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Hale'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

January 2, 2014 - Present

WORTH ASSET MANAGEMENT

Office #1: 417 W Main St, Waxahachie, TX 75165

RIA

CRD#: 166970

WAXAHACHIE, TX

Past

October 16, 2012 - December 31, 2013

WORTH FINANCIAL GROUP INC.

RIA

CRD#: 13478

WAXAHACHIE, TX

Past

November 18, 2005 - January 18, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LUBBOCK, TX

Past

October 4, 2005 - January 18, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

LUBBOCK, TX

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".

WORTH ASSET MANAGEMENT

WORTH ASSET MANAGEMENT | WORTH ASSET MANAGEMENT, LLC

CRD#: 166970 / SEC#: 801-122206

RIA

Registered Investment Advisory firm - (7/1/2021 Approved)

Texas

Registered Investment Advisory firm - (11/11/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Texas
(1/2/2014)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/15/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/14/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 10/21/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/3/2005

General Securities Representative Examination

Current Firm

WORTH ASSET MANAGEMENT

WORTH ASSET MANAGEMENT | WORTH ASSET MANAGEMENT, LLC

CRD#: 166970 / SEC#: 801-122206

RIA

Registered Investment Advisory firm - (7/1/2021 Approved)

Texas

Registered Investment Advisory firm - (11/11/2021 Terminated)

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Contact information

Main Address

16660 Dallas Parkway Suite 1000, Dallas, TX 75248-2612

Mailing Address

Phone number

(469) 257-5074

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FEB 2022 (2/12/2025)

Regulatory assets under management

Total Number of Accounts	344
AUM (Assets Under Management)	$ 270,009,431

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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John D. Hale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Hale's CRS (Customer Relationship Summary).

Certified licenses

Experience

WORTH FINANCIAL GROUP INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

WORTH ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/2012

Series 66

Date: 10/14/2005

Series 31

Date: 10/21/2005

Series 7

Date: 10/3/2005

Current Firm

WORTH ASSET MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WORTH ASSET MANAGEMENT

TRUST BUT VERIFY

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