Individual Firm
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JERALD JOSEPH HALVERSON
JAY HALVERSON
CRD#: 2395133
IA
B
LION STREET ADVISORS, LLCCRD#: 167610 800 Bellevue Way NE
Suite 500
Bellevue, WA 98004
Suite 500
Bellevue, WA 98004
LION STREET FINANCIAL, LLCCRD#: 165828 800 Bellevue Way NE
Suite 500
Bellevue, WA 98004
Suite 500
Bellevue, WA 98004
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7/14/2016
Customer Dispute
Settled
State Registrations
B
California 8/14/2024
B
Oregon 8/14/2024
B
Florida 8/14/2024
B
South Dakota 9/11/2024
B
Georgia 8/15/2024
B
Texas 2/11/2025
B
New Jersey 8/14/2024
B
Washington 8/14/2024
B
New York 8/14/2024
IA
Washington 8/14/2024
B
Oklahoma 9/12/2024
SRO Registrations
B
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B
Registered with this firm since 8/14/2024
IA
Registered with this firm since 8/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/02/2016 - 08/05/2024 | Bellevue, WA | |
IA | 05/30/2024 - 08/01/2024 | Bellevue, WA | |
B | 09/29/2023 - 08/01/2024 | Bellevue, WA | |
B | 05/02/2016 - 09/29/2023 | Bellevue, WA | |
IA | 10/27/2014 - 05/27/2016 | PORTLAND, OR | |
B | 06/10/2014 - 05/27/2016 | PORTLAND, OR | |
IA | 02/13/2009 - 12/09/2009 | SCOTTSDALE, AZ | |
B | 01/23/2009 - 12/09/2009 | SCOTTSDALE, AZ | |
B | 03/14/2008 - 04/02/2008 | PHOENIX, AZ | |
B | 09/07/1993 - 09/01/1998 | PHOENIX, AZ |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.