COMPLIANCE PARTNER

Hale Halasy, CAMS

President

Hale Halasy, President of SDDco Regulatory Services LLC, is a compliance and training professional with over 30 years of experience. He leads broker-dealers through the membership process and provides continued assistance to their internal compliance programs. A Certified Anti-Money Laundering Specialist, Mr. Halasy directs the AML testing program of S.D. Daniels & Company LLC. In addition, Mr. Halasy is a member of FINRA’s Sales Representative Test Writing Committee (’99 to Present), FINRA’s SIE Academic Outreach Committee, and FINRA’s Capital Acquisition and Placement Broker Committee. He was a Founder of CCH Wall Street Financial Training and amassed 13 years training compliance professionals to pass securities industry licensing examinations. He holds the Series 7, 24 and 99 licenses. Mr. Halasy maintains memberships in the National Society of Compliance Professionals and SIFMA Compliance & Legal and earned a BS from Brooklyn College in Business, Management and Finance.

   

“When you hire SDDco, you benefit from the talent and expertise of the entire firm rather than that of an individual practitioner more limited in scope and resources.”

 

SCOTT DANIELS

Co-Managing Partner