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Andrew Walter Halliday

Northwestern Mutual Investment Services, LLC

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About Andrew Walter Halliday

Andrew Halliday is a financial advisor with over 25 years of experience in the industry. Andrew has worked at a number of firms, including Halliday Financial, LLC, USLIFE Equity Sales Corp., Delta Securities Company LLC, and Mid-Market Securities, LLC. Andrew currently holds registrations with the Financial Industry Regulatory Authority (FINRA) and is a registered investment advisor in New Jersey. Andrew is also licensed to sell securities in Connecticut, Florida, Georgia, New York, Oregon, and Vermont. Andrew is a Registered Options Principal, a Municipal Securities Principal, and a Municipal Fund Securities Principal. Andrew has a deep understanding of the financial markets and a commitment to providing clients with personalized financial advice. Andrew is currently working at Northwestern Mutual Investment Services, LLC and is based in New Hartford, NY. Andrew's current role at Northwestern Mutual Investment Services is a financial advisor.

Firm Information

Andrew Halliday is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

19 CAMPION RD

NEW HARTFORD, NY 13413

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Andrew Halliday’s Registration & Firm History

NY

12/21/2022 - Present

Northwestern Mutual Investment Services, LLC (NEW HARTFORD NY)

NY

01/11/2017 - 12/04/2017

MID-MARKET SECURITIES, LLC (NEW YORK NY)

FL

04/16/2016 - 10/24/2016

DELTA SECURITIES COMPANY LLC (ORLANDO FL)

NY

10/30/1993 - 01/25/2016

HALLIDAY FINANCIAL, LLC (ALBANY NY)

NY

01/18/1993 - 10/22/1993

USLIFE EQUITY SALES CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/9/2022

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 7/1/2020

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 4/23/2012

Series 4 - Registered Options Principal Examination

BC

Issued 8/21/2009

Series 53 - Municipal Securities Principal Examination

BC

Issued 7/26/2004

Series 51 - Municipal Fund Securities Principal Examination

BC

Issued 11/29/1994

Series 24 - General Securities Principal Examination

BC

Issued 11/11/2022

Series 7TO - General Securities Representative Examination

BC

Issued 10/12/2022

SIE - Securities Industry Essentials Examination

BC

Issued 6/25/2013

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 1/7/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Andrew Walter Halliday.
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