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Stephen Gaylord Halley
STEVE HALLEY
CRD#: 2747484
IA
Investment Adviser
B
Broker
EQUITY INVESTMENT CORPCRD#: 283930 1776 PEACHTREE STREET NW
SUITE 600S
ATLANTA, GA 30309
FORESIDE FUNDS DISTRIBUTORS LLCCRD#: 31334 REDWOOD CITY, CA
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2014 - 2016 (2 years)2 FIRMS2019 - Present (5 years)BFORESIDE FUND SERVICES, LLC (CRD# 46106)2017 - 2019 (1 year)BUNIFIED FINANCIAL SECURITIES, INC. (CRD# 7868)2008 - 2013 (5 years)BING FUNDS DISTRIBUTOR, LLC (CRD# 37886)2007 - 2008 (1 year)BING INVESTMENT MANAGEMENT SERV... (CRD# 21644)2002 - 2007 (4 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2001 - 2002 (1 year)BWELLS FARGO SECURITIES INC. (CRD# 17438)1999 - 2001 (1 year)BSALOMON SMITH BARNEY INC. (CRD# 7059)1998 - 1999 (<1 year)IAWESTEND ADVISORS, LLC (CRD# 133279)2016 - 2017 (1 year)IAROOSEVELT INVESTMENTS (CRD# 107853)2009 - 2013 (4 years)
License(s)

State Registrations

B
Alaska 9/30/2019

B
Nevada 9/30/2019

B
California 9/30/2019

B
Oregon 9/30/2019

IA
Georgia 10/8/2019

IA
Texas 10/3/2019

B
Hawaii 9/30/2019

B
Washington 9/30/2019

B
Idaho 9/30/2019

B
Wyoming 9/30/2019

B
Montana 9/30/2019

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EQUITY INVESTMENT CORP (CRD#:283930)
1776 PEACHTREE STREET NW SUITE 600S, ATLANTA, GA 30309
Registered with this firm since 10/3/2019

B
FORESIDE FUNDS DISTRIBUTORS LLC (CRD#:31334)
REDWOOD CITY, CA
Registered with this firm since 9/30/2019

Previous Registration(s)
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10/26/2017 - 09/05/2019 FORESIDE FUND SERVICES, LLC (CRD#:46106) PORTLAND, ME
IA
07/28/2016 - 09/06/2017 WESTEND ADVISORS, LLC (CRD#:133279) CHARLOTTE, NC
IA
04/01/2014 - 07/26/2016 ROOSEVELT INVESTMENTS (CRD#:107853) NEW YORK CITY, NY
B
03/25/2014 - 07/12/2016 UNIFIED FINANCIAL SECURITIES, LLC (CRD#:7868) INDIANAPOLIS, IN
B
05/05/2008 - 09/26/2013 UNIFIED FINANCIAL SECURITIES, INC. (CRD#:7868) INDIANAPOLIS, IN
IA
01/14/2009 - 09/20/2013 ROOSEVELT INVESTMENTS (CRD#:107853) MIAMI, FL
B
01/04/2007 - 01/08/2008 ING FUNDS DISTRIBUTOR, LLC (CRD#:37886) WINDSOR, CT
B
08/06/2002 - 01/03/2007 ING INVESTMENT MANAGEMENT SERVICES LLC (CRD#:21644) NEW YORK, NY
B
05/02/2001 - 08/08/2002 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
10/20/1999 - 05/02/2001 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
10/29/1998 - 04/08/1999 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
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Broker
IA
Investment Adviser
Disclosures
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.