James Hallett has been Founding Principal of Hallett Investments since October 2019, is a control person of the firm and directly owns under 5% of it.
Hallett Investments, LLC is a Port Angeles, WA firm with $158M under management, 307 clients and 5 advisers across 5 offices, as of its March 2026 filing.
James Hallett’s longest registration was 21 years at Hallett Advisors (1998–2019). Before joining Hallett Investments in 2019, James Hallett was registered through First Allied Securities, Inc. and Hallett Advisors.
- First Allied Securities, Inc.– · 1 yearPort Angeles, WA · Adviser representative · Firm CRD 32444
- Hallett Advisors– · 21 yearsPort Angeles, WA · Adviser representative · Firm CRD 115970
Investment adviser representative registrations
James Hallett is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from November 2019; the most recent is Texas, in May 2021.
- TexasResidentSince 19 May 2021
- WashingtonSince 25 November 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 31 | Futures Managed Funds Examination | 8 October 2008 |
| Series 51 | Municipal Fund Securities Principal Examination | 24 March 2003 |
| Series 24 | General Securities Principal Examination | 29 January 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 July 1987 |
| Series 7 | General Securities Representative Examination | 20 June 1987 |
- Name
- Futures Managed Funds Examination
- Name
- Municipal Fund Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Dennis Hallett
- CRD
- 1693123
- Firm
- Hallett Investments · CRD 306187
- Role
- Founding Principal
- Registration
- Investment adviser registration
- In the industry since
- November 1998
- Disciplinary history
- Not yet shown here · SEC record
Where does James Hallett work?
James Hallett has been Founding Principal of Hallett Investments, LLC since October 2019, and is a control person of the firm.
Is James Hallett a financial advisor?
Yes. James Hallett has a current investment-adviser registration in Texas and Washington, through Hallett Investments since November 2019.
How many years of experience does James Hallett have?
James Hallett has 27 years in the financial industry, since November 1998, across 3 adviser firms.
What exams has James Hallett passed?
James Hallett has passed 5 licensing exams: the Series 7, Series 63, Series 24, Series 51 and Series 31. The earliest, the Series 7, was passed in June 1987.
Where did James Hallett work before Hallett Investments?
Before Hallett Investments, James Hallett was registered through First Allied Securities, Inc., April 2002 to January 2004.
Is James Hallett registered with FINRA?
No. James Hallett has no current broker registration.
How can I verify James Hallett’s record?
Search CRD 1693123 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Hallett’s full registration record.
