COMPLIANCE PARTNER

Hale Halasy, CAMS

President

Hale Halasy, President of SDDco Regulatory Services LLC, is a compliance and training professional with 30 years of experience. He leads broker-dealers through the membership process and provides continued assistance to internal compliance programs. A Certified Anti-Money Laundering Specialist, Mr. Halasy directs the AML testing program of S.D. Daniels & Company LLC. As a FINRA Series 6, 7, 22, and 62 Test Writing Committee Member (’99 to Present), a FINRA SIE Academic Outreach Committee Member, a FINRA Capital Acquisition and Placement Broker Committee Member, and Founder of CCH Wall Street Financial Training, he amassed 13 years training compliance professionals. He holds FINRA Series 7 and 24 licensures and memberships in the National Society of Compliance Professionals and SIFMA Compliance & Legal. Mr. Halasy earned a BS from Brooklyn College in Business, Management and Finance.

   

SPEAK TO AN SDDco CONSULTANT

 

Are you interested in Broker-Dealer or Investment Advisor Registration, Compliance Consulting, Accounting, Tax or FinOp Services? You can reach us at info@sddco.com or 212-751-4422.

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SPEAK TO AN SDDco CONSULTANT

 

Are you interested in Broker-Dealer or Investment Advisor Registration, Compliance Consulting, Accounting, Tax or FinOp Services? You can reach us at info@sddco.com or 212-751-4422.

FinOp Services & SupervisionBroker-Dealer Membership & ComplianceRIA Registration & ComplianceAML TestingCybersecurityAccounting & BookkeepingTax Compliance & AdvisingBroker-Dealer HostingStart-Ups & Fin Tech

SIGN UP FOR OUR CYBERSECURITY ALERTS

 

Are you safe? In today’s digital world the potential for a security breach is always looming. Get our Cybersecurity Alerts to ensure your data is protected.

“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