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Stephen Halley

Equity Investment CORP
26 Years of Experience
Atlanta, GA
Broker
View SEC Summary
View SEC Summary

Stephen Halley is a registered investment advisor at Equity Investment CORP, based in Atlanta, GA, with 26 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Socially Responsible Investing. Their firm serves 6,761 clients with $3.5B in assets under management.

Equity Investment CORP
Compensation
Fee-Only (% of Portfolio)
Firm Size
16 advisors
Number of Clients
6,761 clients
Average Client Portfolio
$519K average
Assets Under Management
$3.5B

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Management fees range from 0.30% to 1.00% per year based on account size, type, and servicing needs. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1776 Peachtree Street Nw, Suite 600S, Atlanta, GA, 30309

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Stephen is a Senior Director at Equity Investment Corporation, responsible for marketing and selling SMAs/MFS to financial advisors. This activity takes nearly all of Stephen's time, with 130 hours occurring during securities trading hours.

Employment History
Current Registrations
Equity Investment CORP
October 2019 - Present · 7 yrs
Foreside Funds Distributors LLC
September 2019 - Present · 7 yrs 1 mo
Foreside Funds Distributors LLCBroker
September 2019 - Present · 7 yrs 1 mo
Previous Registrations
Foreside Fund Services, LLCBroker
October 2017 - September 2019 · 1 yr 11 mos
Westend Advisors, LLC
July 2016 - September 2017 · 1 yr 2 mos
Roosevelt Investments
April 2014 - July 2016 · 2 yrs 3 mos
Unified Financial Securities, LLCBroker
March 2014 - July 2016 · 2 yrs 4 mos
Roosevelt Investments
January 2009 - September 2013 · 4 yrs 8 mos
Unified Financial Securities, INC.Broker
May 2008 - September 2013 · 5 yrs 4 mos
Ing Funds Distributor, LLCBroker
January 2007 - January 2008 · 1 yr
Ing Investment Management Services LLCBroker
August 2002 - January 2007 · 4 yrs 5 mos
Wells Fargo Investments, LLCBroker
May 2001 - August 2002 · 1 yr 3 mos
Wells Fargo Securities INC.Broker
October 1999 - May 2001 · 1 yr 7 mos
Salomon Smith Barney INC.Broker
October 1998 - April 1999 · 6 mos
State Registrations11 states
AKCAGAHIIDMTNVORTXWAWY
AdvisorBroker

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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