Dennis M. Hayes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dennis Michael Hayes was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1985. Dennis had worked at 3 firms and has passed the Series 63, Series 62 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 1990 - April 27, 1992
EAST - WEST CAPITAL CORPORATION
April 15, 1988 - June 20, 1990
HORIZONS INTERNATIONAL CORPORATION
February 19, 1985 - February 10, 1988
FIRST CHESAPEAKE SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 62
Date: 5/11/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
EAST - WEST CAPITAL CORPORATION
CRD#: 16348 / SEC#: , 8-40740
Contact information
Documents
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.
