Richard P. Hays
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.
Richard Paul Hays, CFP®, who also goes by Rich Hays, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2012 - August 27, 2013
VARIABLE INVESTMENT ASSOCIATES, INC.
April 20, 2009 - November 5, 2010
PARKLAND SECURITIES, LLC
March 31, 2004 - April 16, 2008
MSI FINANCIAL SERVICES, INC.
March 2, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 2, 2004 - April 16, 2008
MSI FINANCIAL SERVICES, INC.
January 1, 1999 - March 17, 2004
PRUCO SECURITIES, LLC.
January 27, 1998 - March 17, 2004
PRUCO SECURITIES, LLC.
August 26, 1997 - January 6, 1998
CALTON & ASSOCIATES, INC.
May 17, 1997 - July 24, 1997
AMERICAN INVESTMENT SERVICES, INC.
January 12, 1996 - May 17, 1997
VARIABLE ASSET STRATEGIES, INC.
April 23, 1993 - December 31, 1995
OSAIC FS, 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
Current Firm
VARIABLE INVESTMENT ASSOCIATES, INC.
CRD#: 44412 / SEC#: , 8-50699
Contact information
FINRA licenses (49 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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