Patrick 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.
Patrick Gerard Hayes was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1988. Patrick had worked at 10 firms and has passed the Series 63, Series 7, Series 3, Series 4, Series 24, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2008 - May 15, 2013
GLOBAL ARENA CAPITAL CORP
February 3, 2003 - April 11, 2006
VFINANCE INVESTMENTS, INC
February 15, 2002 - July 19, 2002
EKN FINANCIAL SERVICES INC.
November 30, 2001 - December 21, 2001
EHRENKRANTZ KING NUSSBAUM
May 25, 2000 - August 14, 2001
WEATHERLY SECURITIES CORPORATION
April 29, 1997 - September 4, 1998
FIRST ASSET MANAGEMENT, INC.
October 24, 1994 - December 20, 1996
STRATTON OAKMONT INC.
July 31, 1993 - October 27, 1994
CITIGROUP GLOBAL MARKETS INC.
July 2, 1991 - October 27, 1994
THE ROBINSON-HUMPHREY COMPANY, LLC
February 23, 1988 - July 31, 1993
LEHMAN BROTHERS 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
Series 8
Date: 3/7/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GLOBAL ARENA CAPITAL CORP
CRD#: 16871 / SEC#: , 8-34661
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Financial | 1 |
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.
