Haley R. Healea
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.
Haley Rose Healea, who also goes by Haley Healea, was a registered financial professional .
Haley is a previously registered financial professional and started their career in finance in 2014. Haley had worked at 4 firms and has passed the Series 63, 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
September 20, 2018 - March 1, 2019
SW FINANCIAL
August 18, 2016 - July 5, 2017
RISE FINANCIAL SERVICES, LLC
April 28, 2015 - August 9, 2016
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
July 17, 2014 - August 8, 2016
WEDBUSH SECURITIES INC.
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
Current Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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.
