BH
Brian J. Hays
MUTUAL ADVISORS
Houston, TX 77024
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CRD#: 1949958
BH
Professional summary
Brian James Hays is a registered financial advisor currently at MUTUAL ADVISORS, LLC located in Houston, Texas.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Brian has worked at 17 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 24 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.
1. Haysvest, LLC., Start Date: 05/14/2014, 17611 Lasting Rose Drive, Cypress, TX 77429, Sole Owner/Sole Member, Personal Oil and Gas Well Investments, Not Investment Related, 1 hour per month, 0 hours per day during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Brian James Hays'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
August 1, 2017 - Present
MUTUAL ADVISORS, LLC
Office #1: 975 Corbindale Ste. 107, Houston, TX 77024RIA
CRD#: 167658
Houston, TX
Past
November 11, 2016 - August 1, 2017
WFG ADVISORS, LP
RIA
CRD#: 125073
Cypress, TX
Past
December 3, 2015 - November 14, 2016
POLARIS WEALTH ADVISORY GROUP
RIA
CRD#: 158718
Houston, TX
Past
December 10, 2014 - November 14, 2016
POLARIS GREYSTONE ADVISORY GROUP, LLC
RIA
CRD#: 171405
Houston, TX
Past
September 30, 2013 - December 31, 2015
GREYSTONE FINANCIAL GROUP, INC.
RIA
CRD#: 112683
HOUSTON, TX
Past
August 4, 2011 - August 27, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOUSTON, TX
Past
August 4, 2011 - August 27, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
HOUSTON, TX
Past
August 13, 2008 - April 14, 2011
AMEGY INVESTMENTS, INC.
RIA
CRD#: 120145
CYPRESS, TX
Past
August 13, 2008 - April 14, 2011
AMEGY INVESTMENTS, INC.
BD
CRD#: 120145
CYPRESS, TX
Past
January 5, 2007 - August 13, 2008
ZIONS CAPITAL ADVISORS, INC.
RIA
CRD#: 131308
SALT LAKE CITY, UT
Past
April 20, 2006 - December 31, 2006
ZIONS DIRECT, INC.
RIA
CRD#: 17776
LEAGUE CITY, TX
Past
January 31, 2006 - April 14, 2011
ZIONS DIRECT, INC.
BD
CRD#: 17776
LEAGUE CITY, TX
Past
November 13, 2002 - December 31, 2006
AMEGY INVESTMENTS, INC.
RIA
CRD#: 120145
HOUSTON, TX
Past
November 13, 2002 - December 31, 2006
AMEGY INVESTMENTS, INC.
BD
CRD#: 120145
HOUSTON, TX
Past
May 23, 2001 - March 3, 2003
FISERV INVESTOR SERVICES, INC.
BD
CRD#: 34637
HOUSTON, TX
Past
January 12, 2001 - April 12, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
December 13, 2000 - May 22, 2001
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
June 30, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
June 28, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
July 9, 1999 - June 26, 2000
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
September 25, 1998 - April 30, 1999
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
February 15, 1990 - June 26, 1998
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
May 23, 1989 - February 27, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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".
MA
MUTUAL ADVISORS, LLC
21:5 WEALTH MANAGEMENT | ZEALAND WEALTH MANAGEMENT FINANCE AND INSURANCE SERVICES | ZEALAND WEALTH MANAGEMENT | YIELD ADVISORY | WISE OAK WEALTH | WISE CAPITAL PARTNERS | WINTHROP TAYLOR FINANCIAL | WILLIS ECKFELDT | WHITEHOUSE WEALTH MANAGEMENT | WEALTH PARTNERS | WEALTH MANAGEMENT STRATEGIES | W. MCKINLEY & ASSOCIATES | VISION WEALTH | TVG FINANCIAL | THE CAPITAL GROUP, LLC | THE APICAL MERISTEM COMPANY | T.R.U.E FINANCIAL GUIDES | SYNERGIST PRIVATE WEALTH | SWAIN FINANCIAL SERVICES | SULLIVAN WEALTH MANAGEMENT GROUP | STONEFORD ADVISORS | STONE & DOWN WEALTH MANAGEMENT | STILLWATER WEALTH MANAGEMENT | STERLING OAKS FINANCIAL SERVICES | SPECTRA PRIVATE WEALTH | SOUTHERN INVESTMENT MANAGEMENT COLLECTIVE | SOUL WEALTH ADVISOR | SONDER PRIVATE WEALTH MANAGEMENT | SILVER STATE WEALTH MANAGEMENT | SIERRA INVESTMENT ADVISORS | SCHREUR FINANCIAL | ROSEHILL ASSET MANAGEMENT | RESULTPOINT FINANCIAL | R. S. PETERSON FINANCIAL | PURPOSE COMPREHENSIVE WEALTH MANAGEMENT | PURPLE CLOVER WEALTH MANAGEMENT | PRIME SOLUTIONS INVESTMENTS | PRICE WEALTH MANAGEMENT | POLARIS FINANCIAL | PLANWISER FINANCIAL | PASCARELLA PLANNING GROUP | OASIS ADVISERS | NORTH COUNTRY WEALTH MANAGEMENT | NFUSE CPAITAL | NEWPORT COAST WEALTH MANAGEMENT | NANCE WEALTH MANAGEMENT | MYERS DEWITT | MUTUAL GROUP INVESTMENT SOLUTIONS | MUTUAL GROUP | MUTUAL ADVISORS, LLC DBA SIERRA INVESTMENT ADVISORS | MUTUAL ADVISORS, LLC | MUELLER WEALTH | MONUMENT INVESTMENT ADVISORS | MOLINA WEALTH MANAGEMENT | MCDONALD HARTMAN WEALTH ADVISORS | LONG TERM CAPITAL MANAGEMENT | LANDOR ADVISORS | KING CAPITAL MANAGEMENT | KIELY CONSULTING | INSIGHTFUL ADVISORY | HOSLER WEALTH MANAGEMENT | HODDER INVESTMENT ADVISORS | HAWTHORNE CAPITAL WEALTH ADVISORS | HADDAM ROAD ADVISORS | GREY FOX FINANCIAL PARTNERS | GLOBAL PORTFOLIO SOLUTIONS | GIANOTTI WEALTH ADVISORY | GAIA CAPITAL MANAGEMENT | FRONT OFFICE WEALTH STRATEGIES | FOX FINANCIAL GROUP | FINANCIAL JOURNEY PARTNERS | FAIRBANKS WEALTH MANAGEMENT | ERX WEALTH PARTNERS | DMI WEALTH MANAGEMENT SOLUTIONS | DMI WEALTH MANAGEMENT & INSURANCE SOLUTIONS | DEL REY CAPITAL MANAGEMENT | DCH WEALTH MANAGEMENT | CONTEXT WEALTH | CONNECT WEALTH | COLLOP CAPITAL | CGT WEALTH ADVISORS | CATALYST PRIVATE WEALTH | CARROLL WEALTH MANAGEMENT | CALIFORNIA RETIREMENT ADVISORS | BILTMORE ADVISORS, INC | BILTMORE ADVISORS | BEYOND FINANCIAL ADVISORS | BEYOND | BARRETT PLANNING GROUP | BAMBOO FINANCIAL ADVISORS | ALL SKY WEALTH MANAGEMENT | ADLER CAPITAL ADVISORS | ADHERENCE CAPITAL MANAGEMENT | 401 FINANCIAL
CRD#: 167658 / SEC#: 801-78089
RIA
Registered Investment Advisory firm - (5/26/2013 Approved)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.Highlighted states indicate IAR registrations
IAR
Texas(8/1/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/6/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MA
MUTUAL ADVISORS, LLC
21:5 WEALTH MANAGEMENT | ZEALAND WEALTH MANAGEMENT FINANCE AND INSURANCE SERVICES | ZEALAND WEALTH MANAGEMENT | YIELD ADVISORY | WISE OAK WEALTH | WISE CAPITAL PARTNERS | WINTHROP TAYLOR FINANCIAL | WILLIS ECKFELDT | WHITEHOUSE WEALTH MANAGEMENT | WEALTH PARTNERS | WEALTH MANAGEMENT STRATEGIES | W. MCKINLEY & ASSOCIATES | VISION WEALTH | TVG FINANCIAL | THE CAPITAL GROUP, LLC | THE APICAL MERISTEM COMPANY | T.R.U.E FINANCIAL GUIDES | SYNERGIST PRIVATE WEALTH | SWAIN FINANCIAL SERVICES | SULLIVAN WEALTH MANAGEMENT GROUP | STONEFORD ADVISORS | STONE & DOWN WEALTH MANAGEMENT | STILLWATER WEALTH MANAGEMENT | STERLING OAKS FINANCIAL SERVICES | SPECTRA PRIVATE WEALTH | SOUTHERN INVESTMENT MANAGEMENT COLLECTIVE | SOUL WEALTH ADVISOR | SONDER PRIVATE WEALTH MANAGEMENT | SILVER STATE WEALTH MANAGEMENT | SIERRA INVESTMENT ADVISORS | SCHREUR FINANCIAL | ROSEHILL ASSET MANAGEMENT | RESULTPOINT FINANCIAL | R. S. PETERSON FINANCIAL | PURPOSE COMPREHENSIVE WEALTH MANAGEMENT | PURPLE CLOVER WEALTH MANAGEMENT | PRIME SOLUTIONS INVESTMENTS | PRICE WEALTH MANAGEMENT | POLARIS FINANCIAL | PLANWISER FINANCIAL | PASCARELLA PLANNING GROUP | OASIS ADVISERS | NORTH COUNTRY WEALTH MANAGEMENT | NFUSE CPAITAL | NEWPORT COAST WEALTH MANAGEMENT | NANCE WEALTH MANAGEMENT | MYERS DEWITT | MUTUAL GROUP INVESTMENT SOLUTIONS | MUTUAL GROUP | MUTUAL ADVISORS, LLC DBA SIERRA INVESTMENT ADVISORS | MUTUAL ADVISORS, LLC | MUELLER WEALTH | MONUMENT INVESTMENT ADVISORS | MOLINA WEALTH MANAGEMENT | MCDONALD HARTMAN WEALTH ADVISORS | LONG TERM CAPITAL MANAGEMENT | LANDOR ADVISORS | KING CAPITAL MANAGEMENT | KIELY CONSULTING | INSIGHTFUL ADVISORY | HOSLER WEALTH MANAGEMENT | HODDER INVESTMENT ADVISORS | HAWTHORNE CAPITAL WEALTH ADVISORS | HADDAM ROAD ADVISORS | GREY FOX FINANCIAL PARTNERS | GLOBAL PORTFOLIO SOLUTIONS | GIANOTTI WEALTH ADVISORY | GAIA CAPITAL MANAGEMENT | FRONT OFFICE WEALTH STRATEGIES | FOX FINANCIAL GROUP | FINANCIAL JOURNEY PARTNERS | FAIRBANKS WEALTH MANAGEMENT | ERX WEALTH PARTNERS | DMI WEALTH MANAGEMENT SOLUTIONS | DMI WEALTH MANAGEMENT & INSURANCE SOLUTIONS | DEL REY CAPITAL MANAGEMENT | DCH WEALTH MANAGEMENT | CONTEXT WEALTH | CONNECT WEALTH | COLLOP CAPITAL | CGT WEALTH ADVISORS | CATALYST PRIVATE WEALTH | CARROLL WEALTH MANAGEMENT | CALIFORNIA RETIREMENT ADVISORS | BILTMORE ADVISORS, INC | BILTMORE ADVISORS | BEYOND FINANCIAL ADVISORS | BEYOND | BARRETT PLANNING GROUP | BAMBOO FINANCIAL ADVISORS | ALL SKY WEALTH MANAGEMENT | ADLER CAPITAL ADVISORS | ADHERENCE CAPITAL MANAGEMENT | 401 FINANCIAL
CRD#: 167658 / SEC#: 801-78089
RIA
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Contact information
Main Address
9140 W Dodge Road Suite 230, Omaha, NE 68114
Mailing Address
Phone number
(307) 439-6357
Established
Firm type
Fiscal year end
# of Employees
189
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,515 |
| AUM (Assets Under Management) | $ 6,750,194,248 |
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.
