David T. 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.
David Todd Hayes, who also goes by David T Hayes, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1990. David had worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 24, Series 4 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
March 6, 2003 - December 31, 2003
SHELMAN SECURITIES CORP.
November 1, 2002 - December 18, 2002
SALOMON GREY FINANCIAL CORPORATION
October 30, 2002 - December 18, 2002
SALOMON GREY FINANCIAL CORPORATION
March 15, 1996 - August 29, 2002
RIVERSTONE WEALTH MANAGEMENT, INC.
May 26, 1995 - March 27, 1996
BLUEBONNET SECURITIES, INC.
October 11, 1994 - June 6, 1995
H.J. MEYERS & CO., INC.
February 24, 1992 - October 17, 1994
PRUDENTIAL EQUITY GROUP, LLC
April 5, 1990 - February 25, 1992
CITIGROUP GLOBAL MARKETS 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: 4/28/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SHELMAN SECURITIES CORP.
CRD#: 39795 / SEC#: , 8-48810
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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.
