William A. Hayes
Professional summary
William Alber Hayes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, William had worked at 12 firms, which includes BENJAMIN & JEROLD BROKERAGE I LLC, WORLD EQUITY GROUP INC., KENILWORTH ASSET MANAGEMENT LLC, SPYGLASS SECURITIES LLC, CHICAGO INVESTMENT GROUP ADVISORS LLC, CHICAGO INVESTMENT GROUP LLC, WELLS FARGO CLEARING SERVICES LLC, LEHMAN BROTHERS INC., COWEN AND COMPANY, FINANCIAL SQUARE PARTNERS, PRUDENTIAL EQUITY GROUP LLC, KUHNS BROTHERS & LAIDLAW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2013 - April 17, 2014
BENJAMIN & JEROLD BROKERAGE I, LLC
July 20, 2012 - June 3, 2013
WORLD EQUITY GROUP, INC.
July 27, 2010 - May 30, 2014
KENILWORTH ASSET MANAGEMENT, LLC
May 5, 2010 - August 11, 2011
SPYGLASS SECURITIES, LLC
June 18, 2009 - May 3, 2010
CHICAGO INVESTMENT GROUP ADVISORS, LLC
December 10, 2007 - October 4, 2009
CHICAGO INVESTMENT GROUP, LLC
October 26, 2007 - May 3, 2010
CHICAGO INVESTMENT GROUP, LLC
October 30, 2002 - November 9, 2007
WELLS FARGO CLEARING SERVICES, LLC
February 12, 2001 - November 9, 2007
WELLS FARGO CLEARING SERVICES, LLC
October 17, 2000 - March 8, 2001
LEHMAN BROTHERS INC.
July 1, 1998 - October 19, 2000
COWEN AND COMPANY
May 19, 1995 - July 1, 1998
FINANCIAL SQUARE PARTNERS
January 3, 1992 - May 19, 1995
PRUDENTIAL EQUITY GROUP, LLC
May 12, 1986 - January 27, 1992
LEHMAN BROTHERS INC.
December 23, 1985 - May 30, 1986
KUHNS BROTHERS & LAIDLAW, INC.
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
Current Firm
BENJAMIN & JEROLD BROKERAGE I, LLC
CRD#: 29110 / SEC#: , 8-44133
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
Red Flags
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