Isaac E. Halls

INSTITUTIONAL ADVISOR SERVICES

FRESNO, CA 93720-1530

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CRD#: 5985502

Professional summary

Isaac Ellsworth Halls is a registered financial advisor currently at INSTITUTIONAL ADVISOR SERVICES located in Fresno, California.

Isaac is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Isaac has worked at 2 firms and has passed the Series 66 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 Isaac Ellsworth Halls'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

November 1, 2013 - Present

INSTITUTIONAL ADVISOR SERVICES

Office #1: 9 E River Park Pl E, Suite 440, Fresno, CA 93720-1530

RIA

CRD#: 44960

FRESNO, CA

Past

April 6, 2012 - September 27, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

FRESNO, CA

Past

March 9, 2012 - September 27, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

FRESNO, 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".

INSTITUTIONAL ADVISOR SERVICES

INSTITUTIONAL ADVISOR SERVICES | PLAN LIFE & WEALTH MANAGEMENT, INC. | PLAN FINANCIAL INC. | PLAN FINANCIAL

CRD#: 44960 / SEC#: 801-112596, 8-50897

RIA

Registered Investment Advisory firm - SEC (3/8/2018 Approved)

California

Registered Investment Advisory firm - SEC (4/18/2018 Terminated)

Terminated by SEC on 12/30/2003

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

California
(11/1/2013)

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: 4/5/2012

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/8/2012

General Securities Representative Examination

Current Firm

INSTITUTIONAL ADVISOR SERVICES

INSTITUTIONAL ADVISOR SERVICES | PLAN LIFE & WEALTH MANAGEMENT, INC. | PLAN FINANCIAL INC. | PLAN FINANCIAL

CRD#: 44960 / SEC#: 801-112596, 8-50897

RIA

Registered Investment Advisory firm - SEC (3/8/2018 Approved)

California

Registered Investment Advisory firm - SEC (4/18/2018 Terminated)

Terminated by SEC on 12/30/2003

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Contact information

Main Address

9 E River Park Pl E, Suite 440, Fresno, CA 93720-1530

Mailing Address

Phone number

(559) 433-1110

Established

California since 06/10/1993

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
HOOPER, JOHN ROBERT	PRESIDENT/CCO/CFO/DIRECTOR	1573967
KOLBERT, ROBERT LEE	DIRECTOR	2128544
LONGSTAFF, JOHN SCOTT	DIRECTOR	1203969
PRENDERGAST, MARK LOUIS	DIRECTOR

Regulatory assets under management

Total Number of Accounts	744
AUM (Assets Under Management)	$ 180,837,833

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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Isaac E. Halls

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Isaac Ellsworth Halls's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSTITUTIONAL ADVISOR SERVICES

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

INSTITUTIONAL ADVISOR SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 4/5/2012

Series 7

Date: 3/8/2012

Current Firm

INSTITUTIONAL ADVISOR SERVICES

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

INSTITUTIONAL ADVISOR SERVICES

TRUST BUT VERIFY

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