Stephen B. 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.
Stephen Bruce Hayes was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1994. Stephen had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2020 - June 6, 2023
U.S. STERLING SECURITIES, INC.
May 8, 2013 - July 9, 2018
AUGMENT SECURITIES INC.
August 26, 2011 - May 9, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 2011 - May 9, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 2010 - August 17, 2011
MORGAN STANLEY
February 2, 2010 - August 17, 2011
MORGAN STANLEY
January 26, 1995 - April 24, 1996
S. D. COHN & CO., INC.
March 14, 1994 - December 31, 1994
BLUESTONE CAPITAL CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
U.S. STERLING SECURITIES, INC.
CRD#: 35912 / SEC#: , 8-47052
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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