Sean B. Halling
KESTRA ADVISORY SERVICES
Afton, WY 83110
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CRD#: 6203252
Professional summary
Sean B Halling, who also goes by Sean Halling, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Afton, Wyoming and KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Sean has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean Halling
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.
Business Name: HALLING WEALTH MANAGEMENT POSITION: Member NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 06/17/2024 ADDRESS: 431 Washington St, Afton WY 83110 DESCRIPTION: I run and operate the office in conjunction with my Kestra affiliation agreement to provide financial services to my clients. I operate the business as an LLC/S-Corp for tax purposes which include payroll processing and providing workplace benefits to myself and employees. Business Name: EXCLUSIVE INSURANCE BROKERAGE POSITION: Customer NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/17/2024 ADDRESS: 3901 Cresthaven Dr, Westlake Village CA 91362 DESCRIPTION: Consulting as needed Business Name: KESTRA ADVISORY SERVICES POSITION: 1099 Independent Contractor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 06/17/2024 ADDRESS: 5707 Southwest Pkwy, Bldg. 2 Ste. 400, Austin TX 78735 DESCRIPTION: Provide advice and financial planning in accordance with company policy and regulatory requirements
CRS (Client Relationship Summary) - RIA
Click below to view Sean B Halling'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®
NoneExperience
Current
June 17, 2024 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 431 S Washington St, Afton, WY 83110RIA
CRD#: 283330
Afton, WY
Current
June 17, 2024 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735BD
CRD#: 42046
Austin, TX
Past
March 16, 2015 - June 4, 2024
EDWARD JONES
RIA
CRD#: 250
AFTON, WY
Past
February 25, 2015 - June 4, 2024
EDWARD JONES
BD
CRD#: 250
AFTON, WY
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/17/2024)
RR
Colorado(10/28/2025)
RR
Idaho(6/17/2024)
RR
Nevada(6/17/2024)
RR
Utah(7/17/2024)
RR
Wyoming(6/17/2024)
IAR
Wyoming(6/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
