Timothy P. 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.
Timothy Paul Hayes was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1988. Timothy had worked at 8 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2013 - April 11, 2018
THEMIS TRADING LLC
June 9, 2011 - October 25, 2012
CAVU SECURITIES LLC
August 27, 2002 - October 28, 2003
M & J SECURITIES, INC.
July 29, 2002 - June 17, 2009
KCCI, LTD.
February 9, 2000 - June 5, 2001
JOSEPHTHAL & CO., INC.
May 5, 1999 - November 19, 1999
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
September 30, 1994 - March 16, 1999
MUFG SECURITIES AMERICAS INC.
July 19, 1988 - September 19, 1994
DB ALEX. BROWN LLC
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 55
Date: 4/13/2000
Limited Representative-Equity Trader ExamCurrent Firm
THEMIS TRADING LLC
CRD#: 120116 / SEC#: , 8-65260
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SALUZZI, JOSEPH CARL | MANAGING MEMBER | 1806970 |
| WILSON, SCOTT ANDREW | MANAGING MEMBER | 1558866 |
| ZAJAC, PAUL SCOTT | CCO | 4096864 |
| ZAJAC, PAUL SCOTT | MANAGING MEMBER | 4096864 |
| ZAJAC, PAUL SCOTT | CEO | 4096864 |
| ZAJAC, PAUL SCOTT | COO | 4096864 |
| FULVIO, GENNARO JOHN | CFO | 2435828 |
| FULVIO, GENNARO JOHN | FINANCIAL AND OPERATIONS PRINCIPAL | 2435828 |
Red Flags
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