Roger G. 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.
Roger Grayson Hayes was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1986. Roger had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2010 - September 1, 2022
MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC
November 4, 2002 - December 10, 2008
PRIMUNI LLC
March 21, 1997 - August 16, 2002
BANC OF AMERICA SECURITIES LLC
April 9, 1990 - November 19, 1996
BANC OF AMERICA SECURITIES LLC
February 19, 1986 - May 8, 1990
BANC OF AMERICA INVESTMENT SERVICES, 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
MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC
CRD#: 150842 / SEC#: , 8-68303
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Red Flags
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