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Stephanie Lisa Hayes

Stephanie L. Hayes

PERIGON WEALTH MANAGEMENT
South Nyack, NY 10960
Some features on this profile are disabled
CRD#: 1224647
Stephanie Lisa Hayes

Professional summary

Stephanie Lisa Hayes, CFP®, ChFC®, who also goes by Lisa Hayes, is a registered financial advisor currently at PERIGON WEALTH MANAGEMENT, LLC located in South Nyack, New York.

Stephanie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Stephanie has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Lisa Hayes

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Lisa Hayes's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 1986

ChFC®

Chartered Financial Consultant

Experience

Current

June 21, 2024 - Present

PERIGON WEALTH MANAGEMENT, LLC

Office #1: 101 S Broadway, South Nyack, NY 10960
RIA
CRD#: 131037
South Nyack, NY
Past

June 29, 2021 - June 24, 2024

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
South Nyack, NY
Past

May 15, 2008 - November 2, 2021

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
SOUTH NYACK, NY
Past

September 6, 2002 - May 27, 2008

LPL FINANCIAL LLC

BD
CRD#: 6413
NEW CITY, NY
Past

February 12, 1993 - September 7, 2002

NATHAN & LEWIS SECURITIES, INC.

RIA
CRD#: 8503
NEW CITY, NY
Past

October 9, 1987 - September 7, 2002

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

March 2, 1987 - October 20, 1987

GLOBAL CAPITAL SECURITIES, INC.

BD
CRD#: 13358
Past

July 21, 1986 - March 20, 1987

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
Past

January 25, 1984 - August 4, 1986

GLOBAL CAPITAL SECURITIES, INC.

BD
CRD#: 13358

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PW
PERIGON WEALTH MANAGEMENT, LLC
ANTHEM ADVISORS | WEALTH ADVISORS | STAKEHOLDERS CAPITAL | PRUDEO PARTNERS | PM WEALTH MANAGEMENT | PERIGON WEALTH MANAGEMENT, LLC | COLLABORATION CAPITAL | COGNIZANT WEALTH ADVISORS | BURLESON & COMPANY | BLUE WATER CAPITAL MANAGEMENT | ANTHEM WEALTH PARTNERS

CRD#: 131037 / SEC#: 801-62988

RIA
Registered Investment Advisory firm - (4/7/2004 Approved)

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
New York
(6/21/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/30/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/8/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/3/1993
General Securities Principal Examination

Current Firm

PW
PERIGON WEALTH MANAGEMENT, LLC
ANTHEM ADVISORS | WEALTH ADVISORS | STAKEHOLDERS CAPITAL | PRUDEO PARTNERS | PM WEALTH MANAGEMENT | PERIGON WEALTH MANAGEMENT, LLC | COLLABORATION CAPITAL | COGNIZANT WEALTH ADVISORS | BURLESON & COMPANY | BLUE WATER CAPITAL MANAGEMENT | ANTHEM WEALTH PARTNERS

CRD#: 131037 / SEC#: 801-62988

RIA
Registered Investment Advisory firm - (4/7/2004 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
201 Mission Street Suite 1825, San Francisco, CA 94105
Mailing Address
Phone number
(877) 977-2555
Established
Firm type
Fiscal year end
# of Employees
141

SEC notice filing (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PERIGON WRAP FEE PROGRAM BROCHURE (3/28/2025)
PERIGON DISCLOSURE BROCHURE AND PRIVACY POLICY (3/28/2025)

Regulatory assets under management

Total Number of Accounts15,456
AUM (Assets Under Management)$ 8,714,418,958

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/28/2026
Cover Page
Report
09/24/2024
Cover Page
Report
10/24/2023
Cover Page
Report

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.

Company Information

PERIGON WEALTH MANAGEMENT, LLC

CRD#: 131037South Nyack, NY 10960

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