Carroll W. Hayes

MISSION WEALTH MANAGEMENT, LP

Dedham, MA 02026

Some features on this profile are disabled

CRD#: 2093305

Professional summary

Carroll William Hayes JR, who also goes by Bill Hayes, Carroll W Hayes, Carroll William Hayes, is a registered financial advisor currently at MISSION WEALTH MANAGEMENT, LP located in Dedham, Massachusetts.

Carroll is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Carroll has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.

Biography

Currently serves on the CERTIFIED FINANCIAL PLANNER Board of Standards, Inc. Disciplinary & Ethics Commission.

Question & Answer

What are your service offerings?

Mr. Hayes began his career in ...

401(k)

Brokerage

and Money Management divisions...

California. In 2001

he returned to Fidelity Invest...

CERTIFIED FINANCIAL PLANNER.

Do you have an area of expertise or specialization?

Business Owners

Corporate Executives

Entrepreneurs

Federal Employees

Medical Professionals

Retirement Plan Investment Adv...

Are you a "fiduciary"?

Yes

Aliases

Bill Hayes | Carroll W Hayes | Carroll William Hayes

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) - RIA

Click below to view Carroll William Hayes JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 27, 2024 - Present

MISSION WEALTH MANAGEMENT, LP

Office #1: 770 Legacy Place, Suites 53 And 55, Dedham, MA 02026

RIA

CRD#: 113057

Dedham, MA

Past

August 25, 2008 - March 18, 2024

CHARLES CARROLL FINANCIAL PARTNERS, LLC

RIA

CRD#: 147960

NEEDHAM, MA

Past

June 19, 2000 - July 22, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BOSTON, MA

Past

August 18, 1998 - October 30, 1998

FIRST FUND DISTRIBUTORS, INC.

CRD#: 27038

PHOENIX, AZ

Past

November 18, 1996 - March 31, 1998

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

January 29, 1996 - November 18, 1996

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

November 23, 1994 - July 22, 2008

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

BOSTON, MA

Past

September 3, 1992 - January 29, 1996

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

September 20, 1990 - September 3, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 Terminated)

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.

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

Massachusetts
(3/27/2024)

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

IAR

Series 65

Date: 11/29/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/2/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/19/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/7/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/7/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1111 Chapala Street 3rd Floor, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 882-2360

Established

Firm type

Fiscal year end

# of Employees

145

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MWM FORM ADV PART 2A - FIRM BROCHURE (5/20/2025)

Regulatory assets under management

Total Number of Accounts	12,456
AUM (Assets Under Management)	$ 10,024,060,630

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Martin Robbins

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Norwell, MA

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Carroll W. Hayes

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carroll William Hayes JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES CARROLL FINANCIAL PARTNERS, LLC

FIDELITY BROKERAGE SERVICES LLC

FIRST FUND DISTRIBUTORS, INC.

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

MISSION WEALTH MANAGEMENT, LP

State Registrations and Notice Filings

Exams

Series 65

Date: 11/29/1996

Series 63

Date: 10/2/1990

Series 7

Date: 9/19/1990

Series 10

Date: 8/7/2000

Series 9

Date: 8/7/2000

Current Firm

MISSION WEALTH MANAGEMENT, LP

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MISSION WEALTH MANAGEMENT, LP

TRUST BUT VERIFY

Contact information

Similar Advisors