Stephanie L. Hayes

PERIGON WEALTH MANAGEMENT

South Nyack, NY 10960

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CRD#: 1224647

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.

[1] Insurance Agent; Not-investment related; 101 S Broadway, South Nyack, New York 10960; Insurance Sales; Agent; 12/2014; Less than ten hours per month, all during securities trading hours; Insurance reviews and sales. [2] Creative Financial Planning, Inc.; Not-Investment related; 101 S Broadway, South Nyack, New York, 10960; Private entity created for marketing and tax purposes of investment advisory business; Owner; 01/1985. [3] Abundance Hall, LLC; Not-Investment related; South Nyack, New York 10960; Entity created for real estate ownership; Owner; 09/2010.

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

CRD#: 8032

SOUTH NYACK, NY

Past

September 6, 2002 - May 27, 2008

LPL FINANCIAL LLC

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.

CRD#: 8503

NEW YORK, NY

Past

March 2, 1987 - October 20, 1987

GLOBAL CAPITAL SECURITIES, INC.

CRD#: 13358

Past

July 21, 1986 - March 20, 1987

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

Past

January 25, 1984 - August 4, 1986

GLOBAL CAPITAL SECURITIES, INC.

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".

PERIGON WEALTH MANAGEMENT, LLC

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)

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 66

Date: 5/30/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/8/1985

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: 1/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/3/1993

General Securities Principal Examination

Current Firm

PERIGON WEALTH MANAGEMENT, LLC

CRD#: 131037 / SEC#: 801-62988

RIA

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

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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)

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 Accounts	15,456
AUM (Assets Under Management)	$ 8,714,418,958

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E 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.

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Stephanie L. Hayes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

LPL FINANCIAL LLC

NATHAN & LEWIS SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

GLOBAL CAPITAL SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

GLOBAL CAPITAL SECURITIES, INC.

Primary Firm SEC Registration

PERIGON WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/30/2000

Series 63

Date: 1/8/1985

SIE

Date: 10/1/2018

Series 7

Date: 1/21/1984

Series 24

Date: 12/3/1993

Current Firm

PERIGON WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PERIGON WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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