Ian J. Zindel

HALO INVESTMENT SERVICES

CHICAGO, IL 60661

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CRD#: 7357873

Professional summary

Ian James Zindel, who also goes by Ian Zindel, is a registered financial advisor currently at HALO INVESTMENT SERVICES, LLC located in Chicago, Illinois and HALO SECURITIES, LLC located in Chicago, Illinois.

Ian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Ian has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ian Zindel

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.

HALO SECURTIES, LLC CHICAGO IL BROKER DEALER OPERATIONS ANALYST SINCE 07/2020 INVESTMENT RELATED HALO INVESTMENT SERVICES, LLC INVESTMENT ADVISER INVESTMENT ADVISER REPRESENTATIVE SINCE 08/2023 INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ian James Zindel'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

August 8, 2023 - Present

HALO INVESTMENT SERVICES, LLC

Office #1: 200 West Jackson Blvd. 18th Floor, Chicago, IL 60661

RIA

CRD#: 325613

CHICAGO, IL

Current

October 1, 2021 - Present

HALO SECURITIES, LLC

Office #1: 200 West Jackson Suite 1800, Chicago, IL 60606

CRD#: 279029

Chicago, IL

Past

January 28, 2022 - August 9, 2023

ROTHSCHILD WEALTH LLC

RIA

CRD#: 162442

CHICAGO, IL

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".

HALO INVESTMENT SERVICES, LLC

CRD#: 325613 / SEC#: 801-127670

RIA

Registered Investment Advisory firm - (5/4/2023 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.

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

Illinois
(1/25/2022)

IAR

Illinois
(8/8/2023)

New York
(10/11/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/24/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/1/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/29/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

HALO INVESTMENT SERVICES, LLC

CRD#: 325613 / SEC#: 801-127670

RIA

Registered Investment Advisory firm - (5/4/2023 Approved)

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Contact information

Main Address

1129 Northern Blvd. Suite 404, Manhasset, NY 11030

Mailing Address

Phone number

(312) 586-2790

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HALO INVESTMENT SERVICES ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 32,613,734

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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Ian J. Zindel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ian James Zindel's CRS (Customer Relationship Summary).

Certified licenses

Experience

HALO INVESTMENT SERVICES, LLC

HALO SECURITIES, LLC

ROTHSCHILD WEALTH LLC

Primary Firm SEC Registration

HALO INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/24/2022

Series 7TO

Date: 10/1/2021

SIE

Date: 5/29/2021

FINRA

Current Firm

HALO INVESTMENT SERVICES, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HALO INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

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