James A. Hayett

MORGAN-ALY WEALTH MANAGEMENT | Branch Manager

Waukesha, WI 53186

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CRD#: 1015599

Professional summary

James Arthur Hayett is a registered financial advisor currently at MORGAN-ALY WEALTH MANAGEMENT, LLC located in Waukesha, Wisconsin.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. James has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Name of Business : Morgan, Aly Wealth Management Address: N4W22370 Bluemound Rd Ste 204,Waukesha, WI Nature of the Business: Support Company/DBA (Owner) Position/Title: Support Company/DBA (Owner) Investment Related:No Start Date: 12/08/2014 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: DBA, owner

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Arthur Hayett's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 1, 2023 - Present

MORGAN-ALY WEALTH MANAGEMENT, LLC

Office #1: N4w22370 Bluemound Rd Suite 204, Waukesha, WI 53186

RIA

CRD#: 328483

Waukesha, WI

Past

December 11, 2014 - December 5, 2023

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Waukesha, WI

Past

December 8, 2014 - December 5, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

WAUKESHA, WI

Past

March 4, 2008 - December 10, 2014

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

PEWAUKEE, WI

Past

March 4, 2008 - December 10, 2014

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

PEWAUKEE, WI

Past

October 31, 2005 - April 2, 2008

OSAIC SERVICES, INC.

RIA

CRD#: 133763

HARTLAND, WI

Past

October 31, 2005 - April 2, 2008

OSAIC SERVICES, INC.

CRD#: 133763

HARTLAND, WI

Past

April 17, 2003 - October 31, 2005

SENTRA SECURITIES CORPORATION

RIA

CRD#: 10249

HARTLAND, WI

Past

September 21, 2001 - October 31, 2005

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

March 12, 1997 - September 24, 2001

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

October 2, 1991 - March 21, 1997

WELLINGTON INVESTMENT SERVICES CORP.

CRD#: 23018

BROOKFIELD, WI

Past

July 25, 1991 - September 19, 1991

FREDERICK & COMPANY, INC.

CRD#: 333

BROOKFIELD, WI

Past

July 20, 1990 - July 15, 1991

HAMILTON INVESTMENTS, INC.

CRD#: 821

Past

March 22, 1984 - June 13, 1990

BLUNT ELLIS & LOEWI INCORPORATED

CRD#: 7580

Past

February 21, 1982 - March 10, 1984

PRUCO SECURITIES, LLC.

CRD#: 5685

Past

February 14, 1982 - March 10, 1984

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(1/15/2025)

IAR

Minnesota
(6/28/2024)

IAR

Texas
(4/12/2024)

IAR

Wisconsin
(12/1/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/1/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/2/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/3/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 10/17/1991

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 8/24/1989

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

MORGAN-ALY WEALTH MANAGEMENT, LLC

MORGAN-ALY WEALTH MANAGEMENT | MORGAN-ALY WEALTH MANAGEMENT, LLC

CRD#: 328483 / SEC#:

Florida

Registered Investment Advisory firm - (1/15/2025 Approved)

Minnesota

Registered Investment Advisory firm - (6/28/2024 Approved)

Texas

Registered Investment Advisory firm - (4/12/2024 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (12/1/2023 Approved)

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Contact information

Main Address

N4w22370 Bluemound Rd Suite 204, Waukesha, WI 53186

Mailing Address

Phone number

(262) 691-0100

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	340
AUM (Assets Under Management)	$ 90,172,911

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James A. Hayett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Arthur Hayett's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

SII INVESTMENTS, INC.

WELLINGTON INVESTMENT SERVICES CORP.

FREDERICK & COMPANY, INC.

HAMILTON INVESTMENTS, INC.

BLUNT ELLIS & LOEWI INCORPORATED

PRUCO SECURITIES, LLC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

State Registrations and Notice Filings

Exams

Series 65

Date: 9/1/1999

Series 63

Date: 9/2/1982

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1984

Series 6

Date: 2/3/1982

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 24

Date: 10/17/1991

Series 8

Date: 8/24/1989

Current Firm

MORGAN-ALY WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MORGAN-ALY WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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