Mark A. Halby
DLK INVESTMENT MANAGEMENT
SOLANA BEACH, CA 92075
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CRD#: 5536243
Professional summary
Mark Anthony Halby, AIF®, CFP®, who also goes by Mark Halby, is a registered financial advisor currently at DLK INVESTMENT MANAGEMENT located in Solana Beach, California.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Mark has worked at 3 firms and has passed the Series 66 and Series 7 exams.
Biography
Mark has over 10 years of experience in the financial services industry. He is an active member of the Financial Planning Association, and previously served on the board of the San Diego and CA chapters. He holds a B.S. in financial services from San Diego State University and is a CERTIFIED FINANCIAL PLANNER™ (CFP®) Professional.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Investment Planning
Insurance Planning
Retirement Planning
Small Business Planning
Do you have an area of expertise or specialization?
Budget & Debt Management
Comprehensive Financial Planni...
401(k)/403(b)/IRAs
Investment Management
Employee Benefits
Insurance
Are you a "fiduciary"?
Yes
Aliases
Mark Halby
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.
ANTHONY HALBY INSURANCE AGENCY; NOT INVESTMENT RELATED; 202 PROVIDENCE MINE RD. SUITE 107, NEVADA CITY, CA 95959; AGENT/SON OF OWNER; SINCE 08/2008; 40-60 HRS/MONTH, 30-50 HRS/MONTH DURING TRADING HOURS; ENGAGED IN THE SALE OF GROUP AND INDIVIDUAL INSURANCE PRODUCTS
CRS (Client Relationship Summary) - RIA
Click below to view Mark Anthony Halby'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®
CFP®
Start date: 2011
Experience
Current
March 26, 2019 - Present
DLK INVESTMENT MANAGEMENT
Office #1: 238 North Cedros Ave Suite 200, Solana Beach, CA 92075RIA
CRD#: 149096
SOLANA BEACH, CA
Past
June 18, 2013 - April 2, 2019
NAUTILUS ADVISORS LLC
RIA
CRD#: 154169
SAN DIEGO, CA
Past
May 5, 2009 - June 19, 2013
NEW ENGLAND SECURITIES
RIA
CRD#: 615
SAN DIEGO, CA
Past
June 23, 2008 - June 19, 2013
NEW ENGLAND SECURITIES
BD
CRD#: 615
SAN DIEGO, CA
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".
DI
DLK INVESTMENT MANAGEMENT
DLK INVESTMENT ADVISORS, LLC | DLK INVESTMENT MANAGEMENT, LLC | DLK INVESTMENT MANAGEMENT
CRD#: 149096 / SEC#: 801-69825
RIA
Registered Investment Advisory firm - (1/5/2009 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.Highlighted states indicate IAR registrations
IAR
California(3/26/2019)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
DI
DLK INVESTMENT MANAGEMENT
DLK INVESTMENT ADVISORS, LLC | DLK INVESTMENT MANAGEMENT, LLC | DLK INVESTMENT MANAGEMENT
CRD#: 149096 / SEC#: 801-69825
RIA
Registered Investment Advisory firm - (1/5/2009 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
238 North Cedros Ave Suite 200, Solana Beach, CA 92075
Mailing Address
Phone number
(858) 433-3200
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,122 |
| AUM (Assets Under Management) | $ 435,005,553 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
