Hale Halasy

Hale Halasy

Chief Compliance Officer

New York Office  |   |  

Hale Halasy, Chief Compliance Officer, is a compliance and financial training professional with more than thirty years of experience in the securities industry. He carries the Series 7, 24 and 99 licenses.

A Certified Anti-Money Laundering Specialist, Mr. Halasy also manages the AML testing program of S.D. Daniels & Company LLC. As a respected member of the New York Stock Exchange Series 6, 7, 22, and 82 Test Writing Committees from 1999 – Present, and, more recently, a Founder and Director of CCH Wall Street Financial Training, Mr. Halasy amassed thirteen years of experience training business professionals in compliance related topics.

Affiliations and Credentials:

  • Certified Anti-Money Laundering Specialist (CAMS Certification)
  • FINRA Series 6, 7, 22, and 82 Test Writing Committee Member
  • FINRA Capital Acquisition Broker Rules Committee Member
  • FINRA SIE Academic Outreach Committee Member
  • SIFMA Compliance & Legal
  • National Society of Compliance Professionals
  • FINRA registered General Securities Principal (Series 24)
  • FINRA registered General Securities Representative (Series 7)
  • FINRA Operations Professional (Series 99)
  • Securities Industry Essentials (SIE)