Hala Asad
Professional Summary
Hala Asad, who also goes by Hala Asaad, Hala Moho Sami Asad, Hala Musa, was a registered financial advisor. Hala was a previously registered financial professional and started their career in finance 2009 - 2013. Hala had worked at 3 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Hala Asaad, Hala Moho Sami Asad, Hala Musa
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
17 years in the financial services industry
Current & Past Employments
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Current Firm
TANDEM SECURITIES | TANDEM SECURITIES, INC. | TANDEM SECURITIES, INC
Contact Information
Main Address
3706 Sw Topeka Boulevard Suite 420, Topeka, KS 66609Mailing Address
3706 W Topeka Boulevard Suite 420, Topeka, KS 66609Phone Number
(785) 266-8333Established
Kansas since 03/15/2006Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (34 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2009About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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