Registered advisors
1 advisors
Small firm tier
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
FINRA BrokerCheck SEC IAPD verified CRD# 279029 Grade A
HALO SECURITIES, LLC — FINRA BrokerCheck Disciplinary Record
Limited Liability Company headquartered in CHICAGO, IL. 1 registered advisor, 0.0% disclosure rate.
HALO SECURITIES, LLC registration status — ACTIVE
Total disclosures
0 events
On FINRA BrokerCheck
Disclosure rate
0.0%
0 ÷ 1 advisors
Branch offices
2 offices
Formed in Illinois
Disclosure Density
Disclosures per registered advisor — relative to peer-firm benchmarks.
HALO SECURITIES, LLC — disclosures per advisor 0.0%
Industry median
Compared against the 0.10-disclosure-per-advisor industry-median benchmark drawn from the firms table.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 0 |
| Customer Complaints | 0 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 0 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Peer Comparison
HALO SECURITIES, LLC vs. industry-median benchmarks for Small-tier broker-dealer firms.
Disclosure rate
0.0%
Industry median: 10.0%
Reg events / advisor
0.00
Industry median: 0.05
Branches / advisor
2.00
Industry median: 0.15
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- CHICAGO, IL, 60606
- Formed
- 02/09/2015
- State of Formation
- Illinois
- CRD Number
- 279029
- SEC Number
- 69655
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About HALO SECURITIES, LLC
HALO SECURITIES, LLC (Limited Liability Company, CRD# 279029 · SEC# 69655 · CHICAGO, IL) reports 1 advisor across 2 branches — Small tier, scope ACTIVE.
BrokerCheck shows 0 disclosures (0.0% per-advisor rate): 0 regulatory, 0 customer-complaint, 0 arbitration, 0 civil. Letter grade A (5/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing — it can range from a settled customer dispute to a formal regulatory sanction — but a high disclosure rate relative to advisor headcount is a signal worth examining before you hire. Compare the per-advisor rate above against firms of similar size, and read each disclosure's underlying detail on the official record rather than relying on the headline count alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.
Source: FINRA, BrokerCheck Public Disclosure Data (2024) FINRA, BrokerCheck Public Disclosure Data (2024)
Frequently Asked Questions
What does a grade of A mean for HALO SECURITIES, LLC?
A grade of A indicates HALO SECURITIES, LLC has an excellent disciplinary record with zero or near-zero FINRA disclosures relative to its size. This suggests a strong compliance culture.
How many FINRA disclosures does HALO SECURITIES, LLC have?
HALO SECURITIES, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How many financial advisors work at HALO SECURITIES, LLC?
HALO SECURITIES, LLC has 1 registered advisor and 2 branch offices, headquartered in IL. Advisor counts are sourced from FINRA BrokerCheck public records.
Where can I verify HALO SECURITIES, LLC's disciplinary record?
You can verify HALO SECURITIES, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 279029. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
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Read our methodology — how this data is sourced, computed, and verified.
Related
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial