Francis A. 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.
Francis Albie Hayes JR, CFP®, who also goes by Fran Hayes, Francis Albie Jr Hayes, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1985. Francis had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2016 - February 3, 2021
ROUND TABLE WEALTH MANAGEMENT
May 1, 2003 - November 2, 2015
TD AMERITRADE, INC.
February 24, 2003 - November 2, 2015
TD AMERITRADE, INC.
October 5, 1992 - April 1, 2003
OSAIC WEALTH, INC.
March 13, 1991 - October 6, 1992
NATHAN & LEWIS SECURITIES, INC.
February 7, 1990 - December 2, 1991
REICH & CO., INC.
November 19, 1989 - February 8, 1990
OSAIC WEALTH, INC.
October 22, 1985 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
ROUND TABLE WEALTH MANAGEMENT
CRD#: 111304 / SEC#: 801-60139
Contact information
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2022 | ||
| 01/28/2022 |
Red Flags
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