Ian H. Fay
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.
Ian H. Fay, who also goes by Ian Heyward Fay, was a registered financial professional .
Ian is a previously registered financial professional and started their career in finance in 1997. Ian had worked at 9 firms and has passed the Series 63, SIE, Series 79 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
April 23, 2018 - June 22, 2021
WEILD & CO.
August 1, 2017 - March 19, 2018
ENTORO SECURITIES, LLC
September 29, 2016 - March 20, 2018
HEADWATERS BD, LLC
November 7, 2007 - November 26, 2008
BNP PARIBAS SECURITIES CORP.
August 13, 2007 - August 14, 2007
BNP PARIBAS SECURITIES CORP.
February 6, 2004 - November 9, 2007
RBC CAPITAL MARKETS CORPORATION
September 2, 2003 - February 6, 2004
RBC CAPITAL MARKETS, LLC
November 3, 2000 - September 11, 2003
UBS SECURITIES LLC
April 19, 2000 - November 3, 2000
UBS FINANCIAL SERVICES INC.
September 18, 1997 - April 20, 2000
PRUDENTIAL EQUITY GROUP, LLC
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
WEILD & CO.
CRD#: 132398 / SEC#: , 8-66593
Contact information
FINRA licenses (52 States and Territories)
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.
