John D. Hall

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CRD#: 852522

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.

John D Hall II, who also goes by John D Hall, John Daniel Hall II, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1978. John had worked at 8 firms and has passed the Series 65, Series 63, SIE, F04 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John D Hall | John Daniel Hall Ii

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

April 28, 2009 - December 31, 2016

REGISTER FINANCIAL ADVISORS, LLC

RIA

CRD#: 143884

ATLANTA, GA

Past

April 28, 2009 - December 31, 2016

REGISTER FINANCIAL ASSOCIATES, INC.

CRD#: 30568

ATLANTA, GA

Past

January 13, 2003 - May 5, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ATLANTA, GA

Past

January 28, 1995 - May 5, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ATLANTA, GA

Past

April 18, 1990 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

December 20, 1989 - April 16, 1990

UNIVEST CAPITAL MARKETS, INC.

CRD#: 16144

Past

December 15, 1986 - April 27, 1989

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

March 31, 1980 - October 31, 1986

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

January 16, 1978 - January 16, 1980

HALL, SLEDGE & COMPANY

CRD#: 7531

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".

REGISTER FINANCIAL ADVISORS, LLC

REGISTER & AKERS ADVISORY SERVICES, LLC. | REGISTER FINANCIAL ADVISORS, LLC | REGISTER AND AKERS MANAGEMENT SERVICES, LLC

CRD#: 143884 / SEC#: 801-81190

RIA

Registered Investment Advisory firm - (4/17/2015 Approved)

Alabama

Registered Investment Advisory firm - (4/22/2015 Terminated)

Florida

Registered Investment Advisory firm - (4/17/2015 Terminated)

Georgia

Registered Investment Advisory firm - (6/25/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (8/14/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (4/17/2015 Terminated)

Texas

Registered Investment Advisory firm - (4/17/2015 Terminated)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 12/10/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/18/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

Principal/Supervisory Exam

F04

Date: 12/21/1977

Financial Principal Examination

Principal/Supervisory Exam

Series 40

Date: 12/21/1977

Registered Principal Examination

Current Firm

REGISTER FINANCIAL ADVISORS, LLC

REGISTER & AKERS ADVISORY SERVICES, LLC. | REGISTER FINANCIAL ADVISORS, LLC | REGISTER AND AKERS MANAGEMENT SERVICES, LLC

CRD#: 143884 / SEC#: 801-81190

RIA

Registered Investment Advisory firm - (4/17/2015 Approved)

Alabama

Registered Investment Advisory firm - (4/22/2015 Terminated)

Florida

Registered Investment Advisory firm - (4/17/2015 Terminated)

Georgia

Registered Investment Advisory firm - (6/25/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (8/14/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (4/17/2015 Terminated)

Texas

Registered Investment Advisory firm - (4/17/2015 Terminated)

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Contact information

Main Address

3500 Lenox Road Suite 1700, Atlanta, GA 30326

Mailing Address

Phone number

(404) 364-2180

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (2/13/2025)

PART 2A (2/13/2025)

Regulatory assets under management

Total Number of Accounts	835
AUM (Assets Under Management)	$ 396,907,109

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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Advisor Monitoring

Firm Stability Insights

John D. Hall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REGISTER FINANCIAL ASSOCIATES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

UNIVEST CAPITAL MARKETS, INC.

CREDIT SUISSE SECURITIES (USA) LLC

E. F. HUTTON & COMPANY INC

HALL, SLEDGE & COMPANY

Primary Firm SEC Registration

REGISTER FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/10/1991

Series 63

Date: 12/18/1989

SIE

Date: 12/31/2016

F04

Date: 12/21/1977

Series 40

Date: 12/21/1977

Current Firm

REGISTER FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REGISTER FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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