Timothy C. Hale

HALE FINANCIAL SOLUTIONS

Afton, WY 83110

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CRD#: 5128294

Professional summary

Timothy C Hale, who also goes by Tim C Hale, is a registered financial advisor currently at HALE FINANCIAL SOLUTIONS, LLC located in Afton, Wyoming.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Timothy has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tim C Hale

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.

StarValleyWY.com Not investment related 46 West 3rd Avenue Co-owner Start Date: 07/2017 6 hours/month 0 hours during trading hours I help maintain the website, create content, and market the site to advertisers

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy C Hale'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®

None

Experience

Current

October 12, 2017 - Present

HALE FINANCIAL SOLUTIONS, LLC

Office #1: 80 East 1st Avenue, Afton, WY 83110

RIA

CRD#: 284620

Afton, WY

Past

December 9, 2010 - October 14, 2014

ZIONS CAPITAL ADVISORS, INC.

RIA

CRD#: 131308

SALT LAKE CITY, UT

Past

August 20, 2010 - October 5, 2015

ZIONS DIRECT, INC.

CRD#: 17776

SALT LAKE CITY, UT

Past

June 12, 2006 - October 16, 2006

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SALT LAKE CITY, UT

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

Wyoming
(10/12/2017)

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 66

Date: 11/30/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/16/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/5/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/19/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/2/2012

General Securities Principal Examination

Current Firm

HALE FINANCIAL SOLUTIONS, LLC

CRD#: 284620 / SEC#: 801-108210

RIA

Registered Investment Advisory firm - (12/7/2017 Terminated)

Texas

Registered Investment Advisory firm - (8/31/2018 Terminated)

Wyoming

Registered Investment Advisory firm - (10/12/2017 Approved)

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).

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Contact information

Main Address

80 East 1st Avenue, Afton, WY 83110

Mailing Address

Po Box 1571, Afton, WY 83110

Phone number

(307) 201-9514

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	113
AUM (Assets Under Management)	$ 17,983,552

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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Timothy C. Hale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy C Hale's CRS (Customer Relationship Summary).

Certified licenses

Experience

HALE FINANCIAL SOLUTIONS, LLC

ZIONS CAPITAL ADVISORS, INC.

ZIONS DIRECT, INC.

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/30/2010

Series 63

Date: 6/16/2006

SIE

Date: 10/5/2015

Series 7

Date: 8/19/2010

Series 24

Date: 3/2/2012

Current Firm

HALE FINANCIAL SOLUTIONS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HALE FINANCIAL SOLUTIONS, LLC

TRUST BUT VERIFY

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