Joseph Halpern

Investment Adviser Representative at OBSIDIAN CIO, LLC

NEW YORK, NYCRD #4637169Dual-registered

No disclosures on record

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

19 yrs

States Registered

1 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 1 states

New York

Examinations passed

Series 65

Uniform Investment Adviser Law Examination

Passed 4/3/2017

Series 63

Uniform Securities Agent State Law Examination

Passed 7/25/2013

Series 4

Registered Options Principal Examination

Passed 10/17/2013

Series 24

General Securities Principal Examination

Passed 8/28/2013

Series 99TO

Operations Professional Examination

Passed 1/2/2023

Series 57TO

Securities Trader Exam

Passed 1/2/2023

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 79

Investment Banking Registered Representative Examination

Passed 12/19/2013

Series 87

Research Analyst Exam - Part II Regulations Module

Passed 3/3/2005

Series 86

Research Analyst Exam - Part I Analysis Module

Passed 2/22/2005

Series 55

Limited Representative-Equity Trader Exam

Passed 3/5/2003

Series 7

General Securities Representative Examination

Passed 9/1/2000

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Blended rate

0.01

Source

OBSIDIAN Cio, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

E*TRADE PROFESSIONAL TRADING, LLC

5/9/2003 – 5/27/2003NEW YORK, NY

HALPERN CAPITAL, INC.

5/22/2003 – 4/10/2006JERSEY CITY, NJ

NEBARI SECURITIES, LLC

5/12/2014 – 11/14/2018New York, NY

HALPERN CAPITAL, INC.

4/15/2013 – 9/25/2013AVENTURA, FL

KELLOGG CAPITAL GROUP LLC

4/10/2006 – 2/22/2007NEW YORK, NY

ING FINANCIAL MARKETS LLC

2/21/2007 – 4/15/2010NEW YORK, NY

CHELSEA FINANCIAL SERVICES

11/15/2018 – 10/1/2024STATEN ISLAND, NY

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Joseph Halpern has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.