Dennis L. 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.
Dennis Lee Hayes, who also goes by Dennis Hayes, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1971. Dennis had worked at 7 firms and has passed the Series 63, Series 000, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2008 - December 31, 2013
NORTHEAST SECURITIES, LLC
February 26, 2007 - December 19, 2008
OSAIC SERVICES, INC.
January 20, 1999 - March 18, 2005
CMI CAPITAL MARKET INVESTMENT, LLC
October 27, 1992 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
June 19, 1991 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
May 11, 1983 - January 13, 1997
LEHMAN BROTHERS INC.
September 15, 1971 - May 3, 1983
SALOMON BROTHERS 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
Series 000
Date: 9/13/1971
General Securities Principal ExaminationSeries 1
Date: 9/13/1971
Registered Representative ExaminationSeries 40
Date: 12/6/1976
Registered Principal ExaminationCurrent Firm
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
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 | 16 |
| Arbitration | 11 |
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.
