John T. Frey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Thomson M. Frey IV, who also goes by Jay Thomson Mason Frey IV, John Thomson Mason Frey Iv, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2011. John had worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2020 - August 3, 2022
HALO SECURITIES, LLC
October 29, 2012 - May 23, 2017
FIRST TRUST PORTFOLIOS L.P.
September 20, 2012 - May 23, 2017
FIRST TRUST ADVISORS LP
July 27, 2011 - February 12, 2013
PORTFOLIO WEALTH ADVISORS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/6/2020
General Securities Representative ExaminationCurrent Firm
HALO SECURITIES, LLC
CRD#: 279029 / SEC#: , 8-69655
Contact information
FINRA licenses (51 States and Territories)
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.
