LH
Laurence J. Hayes
LANTERN WEALTH ADVISORS
Geneva, IL 60134
Some features on this profile are disabled
CRD#: 1682262
LH
Professional summary
Laurence James Hayes is a registered financial advisor currently at LANTERN WEALTH ADVISORS, LLC located in Geneva, Illinois and HEROLD & LANTERN INVESTMENTS, INC. located in Geneva, Illinois.
Laurence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Laurence has worked at 3 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
REGISTERED AS AN INVESTMENT ADVISOR REPRESENTATIVE WITH LANTERN WEALTH ADVISORS LLC HEADQUARTERS LOCATED 35 PINELAWN ROAD SUITE 101E SINCE 01/2013. ANTICIPATE SPENDING APPROXIMATELY 5 HOURS/MONTH MOST OF WHICH DURING SECURITIES TRADING HOURS. DUTIES INVOLVE SALES AS AN INVESTMENT ADVISOR REPRESENTATIVE.
Lantern Insurance Brokerage located at Lantern Insurance Headquarters at 35 Pinelawn Rd Melville, NY 11747. Insurance agent (long term care) representing various insurance agencies - non-investment related. Start date 04/2017. Approximately 1-2 hours/month all of which are during securities trading hours. Acting as an insurance agent offering predominantly long term care insurance to potential clients.
CRS (Client Relationship Summary) - RIA
Click below to view Laurence James Hayes's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 7, 2013 - Present
LANTERN WEALTH ADVISORS, LLC
Office #1: 115 Campbell St Ste 105, Geneva, IL 60134RIA
CRD#: 147420
Geneva, IL
Current
January 2, 2009 - Present
HEROLD & LANTERN INVESTMENTS, INC.
Office #1: 115 Campbell St Ste 105, Geneva, IL 60134BD
CRD#: 30996
Geneva, IL
Past
July 7, 1987 - December 31, 2008
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
BD
CRD#: 7404
CHICAGO, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LW
LANTERN WEALTH ADVISORS, LLC
LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC
CRD#: 147420 / SEC#: 801-79035
RIA
Registered Investment Advisory firm - (1/15/2014 Approved)California
Registered Investment Advisory firm - (2/16/2014 Terminated)New Jersey
Registered Investment Advisory firm - (2/10/2014 Terminated)New York
Registered Investment Advisory firm - (1/17/2014 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/2/2009)
RR
Arkansas(9/5/2025)
RR
California(1/2/2009)
RR
Colorado(1/2/2009)
RR
Florida(1/2/2009)
RR
Georgia(1/13/2010)
RR
Illinois(1/2/2009)
IAR
Illinois(1/21/2014)
RR
Indiana(1/2/2009)
RR
Iowa(1/2/2009)
RR
Kansas(1/2/2009)
RR
Kentucky(1/2/2009)
RR
Louisiana(1/2/2009)
RR
Maine(7/6/2022)
RR
Maryland(1/2/2009)
RR
Michigan(1/2/2009)
RR
Minnesota(1/2/2009)
RR
Mississippi(1/2/2009)
RR
Missouri(1/2/2009)
RR
Montana(1/8/2009)
RR
Nevada(1/2/2009)
RR
New Jersey(1/2/2009)
RR
New York(1/2/2009)
RR
North Carolina(1/2/2009)
RR
Ohio(1/2/2009)
RR
Oregon(9/9/2014)
RR
Pennsylvania(1/2/2009)
RR
Rhode Island(7/10/2025)
RR
South Carolina(1/2/2009)
RR
South Dakota(1/8/2013)
RR
Tennessee(8/19/2024)
RR
Texas(1/2/2009)
RR
Virginia(1/2/2009)
RR
Wisconsin(1/2/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/5/1990
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
LW
LANTERN WEALTH ADVISORS, LLC
LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC
CRD#: 147420 / SEC#: 801-79035
RIA
Registered Investment Advisory firm - (1/15/2014 Approved)California
Registered Investment Advisory firm - (2/16/2014 Terminated)New Jersey
Registered Investment Advisory firm - (2/10/2014 Terminated)New York
Registered Investment Advisory firm - (1/17/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Mailing Address
Phone number
(631) 454-2000
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 379 |
| AUM (Assets Under Management) | $ 265,466,991 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
