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Craig-Hallum Advisors LLC CRD 326968
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
250 Park Avenue, 7Th Floor, New York, NY 10177 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-08-30 |
Branch Locations
222 South Ninth Street Suite 350, Minneapolis, MN 55402 • United States
250 Park Avenue, 7Th Floor, New York, NY 10177 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dougherty & Company Llc | Minneapolis | MN | 02/2011 | 07/2018 |
| American Enterprise Investment Services Inc. | Minneapolis | MN | 07/2018 | 02/2020 |
| Ameriprise Financial Services, Inc. | Minneapolis | MN | 07/2018 | 02/2020 |
| Craig-Hallum Capital Group | Minneapolis | MN | 02/2020 | Present |
CCO of Craig-Hallum Advisors, LLC and affiliated investment advisor. IA Registration in State of NY. Approximately 15-20 hours a week dedicated to OBA. Duties are generally parallel to those of CCO of broker-dealer. President of Nokomis Partners, LLC. Purpose of business is to buy and sell collectibles, memorabilia and antiques. Approximately 10 hours a week dedicated to business, outside of normal securities trading hours. Starting in February, 2024, paid consultant to Gerson Lehman Group. Provides periodic expert interviews regarding basic industry progress and technology concerns for the Consolidated Audit Trail. GLG may present non-broker-dealer clients for paid discussions on related industry topics for which I may engage after conducting conflicts reviews. Only compensated for time during interviews. Time: Approximately 0-3 hours per month - non-business hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-06-26 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-19 |
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