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AF

Allyson Fox

Some features on this profile are disabled
CRD#: 6425533
AF

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.

Allyson Fox, who also goes by Allyson Caggiano, was a registered financial professional .

Allyson is a previously registered financial professional and started their career in finance in 2016. Allyson had worked at 3 firms and has passed the SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Allyson Caggiano

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 9, 2018 - April 5, 2022

HALLIDAY FINANCIAL, LLC

BD
CRD#: 31741
Clifton Park, NY
Past

March 25, 2017 - June 9, 2017

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
LATHAM, NY
Past

April 20, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
LATHAM, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/20/2016
Investment Company Products/Variable Contracts Representative Examination

Current Firm

HF
HALLIDAY FINANCIAL, LLC
HALLIDAY FINANCIAL, LLC | HRC SERVICES, INC. | HRC INVESTMENT SERVICES, INC.

CRD#: 31741 / SEC#: , 8-45529

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
725 Glen Cove Avenue, Glen Head, NY 11545
Mailing Address
725 Glen Cove Anuene, Glen Head, NY 11545
Phone number
(516) 671-1099
Established
New York since 05/13/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HRC INVESTMENT SERVICES, INC.DIRECT PARENT OF HALLIDAY FINANCIAL, LLC
PINO, RACHEL HOLSTEFINOP, CCO, SUPERVISOR2381976

Disclosures

Regulatory Event1

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.

Company Information

HALLIDAY FINANCIAL, LLC

CRD#: 31741

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