Michael Halphen Jr, financial advisor Seattle WA
93 score

Michael Halphen Jr

CRD Number: 1852475
Current Firm: Capital One Advisors, LLC

Michael Halphen Jr (CRD# 1852475) is an Investment Advisor Representative working at Capital One Advisors, LLC in Seattle, WA and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
Capital One Investing, LLC New Orleans, LA Jun 2016 - Current < 1
Metlife Securities Lafayette, LA Oct 2014 - May 2016 1
Wells Fargo Advisors LLC Beaumont, TX Oct 2009 - Oct 2014 5
Morgan Stanley Smith Barney Midland, TX Jun 2009 - Oct 2009 < 1
Citigroup Global Markets Inc. Midland, TX Jul 1993 - Oct 2009 16
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1988
S65 NASAA Investment Advisors Law Examination Nov 1995
Contact Info for Michael B. Halphen Jr
Phone Number: 206-805-0800
Registered State(s):
  • LA
  • WA
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    12
    ACCOUNTS
  • Average Account Value
    $1,343
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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