William D. Hayes
Professional summary
William Drew Hayes, who also goes by Drew M Hayes, Drew Matthew Hayes, William Drew Matthew Hayes, is a registered financial professional currently at C. L. KING & ASSOCIATES, INC. located in Albany, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 1986. William has worked at 4 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Drew Hayes's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 4, 2008 - Present
C. L. KING & ASSOCIATES, INC.
Office #1: Nine Elk Street, Albany, NY 12207March 1, 2006 - March 18, 2008
KEYBANC CAPITAL MARKETS INC.
July 8, 1995 - October 20, 2005
CIBC WORLD MARKETS CORP.
December 16, 1986 - February 16, 1994
MORGAN STANLEY DW 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
(6/24/2020)
(8/4/2008)
(8/4/2008)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
C. L. KING & ASSOCIATES, INC.
CRD#: 6183 / SEC#: , 8-17025
Contact information
FINRA licenses (36 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEIR, CANDACE KING | PRESIDENT/DIRECTOR, CEO | 269796 |
| WEIR, AMELIA FARLEY | SHAREHOLDER | 1497338 |
| WEIR, KATHERINE BROUSSARD | SHAREHOLDER | 1497339 |
| GIMON, RICHARD JAMES | CHIEF COMPLIANCE OFFICER, DIRECTOR | 3217139 |
| MCMILLEN, PETER JOHN | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2061930 |
| ZORIC, STEVEN | COO | 4074487 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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