Dennis Lee Hayes
Professional Summary
Dennis Lee Hayes, who also goes by Dennis Hayes, was a registered financial advisor. Dennis was a previously registered financial professional and started their career in finance 1971 - 2013. Dennis had worked at 7 firms and has passed the Series 63, Series 000, Series 1 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dennis Hayes
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
55 years in the financial services industry
Current & Past Employments
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Current Firm
NORTHEAST SECURITIES, INC. | NORTHEAST SECURITIES, LLC
Contact Information
Established
Delaware since 12/11/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | — |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
Regulatory Event
16Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 000 — General Securities Principal Examination
Passed Sep 1971Series 1 — Registered Representative Examination
Passed Sep 1971Series 40 — Registered Principal Examination
Passed Dec 1976Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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