Joseph Hays

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CRD#: 1974629

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.

Joseph Hays, who also goes by Joe Hays, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1989. Joseph had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe Hays

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 6, 2020 - December 2, 2021

TRUTORO

CRD#: 169291

CONWAY, AR

Past

July 27, 2017 - July 16, 2018

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Moorestown, NJ

Past

January 10, 2007 - February 3, 2016

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

Moorestown, NJ

Past

January 2, 2002 - December 31, 2006

STERLING CAPITAL DISTRIBUTORS, LLC

CRD#: 103934

PORTLAND, ME

Past

February 23, 2000 - January 2, 2002

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

Past

October 20, 1992 - November 19, 1999

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

September 19, 1989 - October 18, 1990

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

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".

TRUTORO

CRD#: 169291 / SEC#: 801-120986, 8-69363

RIA

Registered Investment Advisory firm - SEC (4/28/2021 Approved)

Arkansas

Registered Investment Advisory firm - SEC (4/30/2021 Terminated)

Georgia

Registered Investment Advisory firm - SEC (5/10/2021 Terminated)

Montana

Registered Investment Advisory firm - SEC (4/30/2021 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (2/1/2019 Terminated)

Texas

Registered Investment Advisory firm - SEC (4/30/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/26/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/16/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/16/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/27/2015

General Securities Principal Examination

Current Firm

TRUTORO

CRD#: 169291 / SEC#: 801-120986, 8-69363

RIA

Registered Investment Advisory firm - SEC (4/28/2021 Approved)

Arkansas

Registered Investment Advisory firm - SEC (4/30/2021 Terminated)

Georgia

Registered Investment Advisory firm - SEC (5/10/2021 Terminated)

Montana

Registered Investment Advisory firm - SEC (4/30/2021 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (2/1/2019 Terminated)

Texas

Registered Investment Advisory firm - SEC (4/30/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

2201 Washington Ave Suite 2, Conway, AR 72032

Mailing Address

2201 Washington Ave Ste 2, Conway, AR 72032

Phone number

(501) 358-6131

Established

Arkansas since 09/05/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (7 States and Territories)

FINRA licenses (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TRUTORO - ADV PART 2A BROCHURE (5/7/2025)

Direct owners and executive officers

Name	Position	CRD#
MURDOCH, REBECCA GAIL	MANAGING MEMBER/CCO	3171059
SHANNON, DEBRA DAWN	OWNER	5021297
ANDERSON, KATHERINE ALICE	FINANCIAL OPERATIONS PRINCIPAL	4723171

Regulatory assets under management

Total Number of Accounts	1,172
AUM (Assets Under Management)	$ 130,734,559

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.

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Advisor Monitoring

Firm Stability Insights

Joseph Hays

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

FORESIDE FUNDS DISTRIBUTORS LLC

STERLING CAPITAL DISTRIBUTORS, LLC

FORESIDE FUNDS DISTRIBUTORS LLC

INVESCO CAPITAL MARKETS, INC.

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

TRUTORO

State Registrations and Notice Filings

Exams

Series 63

Date: 9/26/1989

SIE

Date: 7/16/2018

Series 7

Date: 9/16/1989

Series 24

Date: 6/27/2015

Current Firm

TRUTORO

Contact information

SEC notice filing (7 States and Territories)

FINRA licenses (23 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

TRUTORO

TRUST BUT VERIFY

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