CH
Calvin B. Hays
GREAT LAKES ADVISORS
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 2217029
CH
Professional summary
Calvin Bradley Hays, who also goes by Brad Hays, is a registered financial advisor currently at GREAT LAKES ADVISORS, LLC located in Chicago, Illinois.
Calvin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Calvin has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brad 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.
COMMERCIAL PROPERTY ADVISORS IS LOCATED AT 11301 GOLF LINKS DR. NORTH SUITE 207, CHARLOTTE, NC 28277. NOT INVESTMENT-RELATED. POSITION IS A LIMITED PARTNER ROLE WITH 0 HOURS PER MONTH, OF WHICH 0 HOURS PER MONTH ARE DURING SECURITIES TRADING HOURS. RESPONSIBILITIES INCLUDE PASSIVE INVESTMENT. DATE OF POSITION IS 12/24/2002. WHI COMPLIANCE HAS REVIEWED THE OUTSIDE EMPLOYMENT AND HAVE DETERMINED THAT ACTIVITY: 1.) DOES NOT INTERFERE WITH OR COMPROMISE EMPLOYEE'S RESPONSIBILITIES TO WHI, AND 2.) WILL NOT BE VIEWED BY THE PUBLIC AS PART OF WHI'S BUSINESS.
GREAT LAKES ADVISORS IS LOCATED AT 231 S. LaSalle Street 4th Floor, CHICAGO, IL 60604. INVESTMENT-RELATED, AFFILIATED INVESTMENT ADVISOR. POSITION IS A Regional Director, Intermediary Sales ROLE WITH 160 HOURS PER MONTH, OF WHICH 142 HOURS PER MONTH ARE DURING SECURITIES TRADING HOURS. RESPONSIBILITIES INCLUDE Sales and management. DATE OF POSITION IS 07/31/2015. WHI COMPLIANCE HAS REVIEWED THE OUTSIDE EMPLOYMENT AND HAVE DETERMINED THAT ACTIVITY: 1.) DOES NOT INTERFERE WITH OR COMPROMISE EMPLOYEE'S RESPONSIBILITIES TO WHI, AND 2.) WILL NOT BE VIEWED BY THE PUBLIC AS PART OF WHI'S BUSINESS.DUAL-REGISTERED EMPLOYEE.
CRS (Client Relationship Summary) - RIA
Click below to view Calvin Bradley 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 5, 2015 - Present
GREAT LAKES ADVISORS, LLC
Office #1: 231 S. Lasalle Street 4th Floor, Chicago, IL 60604RIA
CRD#: 110757
Chicago, IL
Past
August 5, 2015 - January 28, 2025
WINTRUST INVESTMENTS LLC
RIA
CRD#: 875
CHICAGO, IL
Past
August 5, 2015 - July 31, 2025
WINTRUST INVESTMENTS LLC
BD
CRD#: 875
CHICAGO, IL
Past
March 5, 2013 - June 17, 2014
TD AMERITRADE, INC.
RIA
CRD#: 7870
MARLTON, NJ
Past
March 5, 2013 - June 17, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
MARLTON, NJ
Past
March 4, 2013 - June 17, 2014
TD AMERITRADE, INC.
BD
CRD#: 7870
MARLTON, NJ
Past
February 8, 2013 - February 20, 2013
CALAMOS ADVISORS LLC
RIA
CRD#: 105758
NAPERVILLE, IL
Past
April 20, 2009 - February 8, 2013
CALAMOS WEALTH MANAGEMENT LLC
RIA
CRD#: 143490
NAPERVILLE, IL
Past
July 30, 2002 - November 20, 2007
CALAMOS ADVISORS LLC
RIA
CRD#: 105758
NAPERVILLE, IL
Past
November 2, 2001 - February 20, 2013
CALAMOS FINANCIAL SERVICES LLC
BD
CRD#: 19850
NAPERVILLE, IL
Past
June 17, 1998 - September 4, 2001
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
NEW YORK, NY
Past
January 3, 1995 - May 21, 1998
INVESCO CAPITAL MARKETS, INC.
BD
CRD#: 6939
HOUSTON, TX
Past
February 1, 1994 - December 6, 1994
JMC INVESTMENT SERVICES, INC.
BD
CRD#: 14376
BOSTON, MA
Past
January 18, 1993 - December 8, 1993
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
GREAT LAKES ADVISORS, LLC
FOCUSED ADVISORS | WINTRUST WEALTH MANAGEMENT | WINTRUST PRIVATE CLIENT | WINTRUST CAPITAL MANAGEMENT, LLC | WAYNE HUMMER PREMIER ADVISORS | WAYNE HUMMER MANAGEMENT CO | WAYNE HUMMER INVESTMENT MANAGEMENT SERVICES | WAYNE HUMMER ASSET MANAGEMENT COMPANY, L.L.C. | WAYNE HUMMER ASSET MANAGEMENT COMPANY | LAKE FOREST CAPITAL MANAGEMENT COMPANY | GREAT LAKES ADVISORS, LLC | GREAT LAKES ADVISORS, INC. | GREAT LAKES ADVISORS HOLDINGS, LLC
CRD#: 110757 / SEC#: 801-16937
RIA
Registered Investment Advisory firm - (3/24/1982 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
Illinois(8/5/2015)
IAR
New Jersey(3/29/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
GREAT LAKES ADVISORS, LLC
FOCUSED ADVISORS | WINTRUST WEALTH MANAGEMENT | WINTRUST PRIVATE CLIENT | WINTRUST CAPITAL MANAGEMENT, LLC | WAYNE HUMMER PREMIER ADVISORS | WAYNE HUMMER MANAGEMENT CO | WAYNE HUMMER INVESTMENT MANAGEMENT SERVICES | WAYNE HUMMER ASSET MANAGEMENT COMPANY, L.L.C. | WAYNE HUMMER ASSET MANAGEMENT COMPANY | LAKE FOREST CAPITAL MANAGEMENT COMPANY | GREAT LAKES ADVISORS, LLC | GREAT LAKES ADVISORS, INC. | GREAT LAKES ADVISORS HOLDINGS, LLC
CRD#: 110757 / SEC#: 801-16937
RIA
Registered Investment Advisory firm - (3/24/1982 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
231 S. Lasalle Street 4th Floor, Chicago, IL 60604
Mailing Address
Po Box 750, Chicago, IL 60606-0750
Phone number
(312) 431-1700
Established
Firm type
Fiscal year end
# of Employees
86
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,771 |
| AUM (Assets Under Management) | $ 15,298,949,943 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 09/27/2023 |
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.
