Jay 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.
Jay Lucien Hayes was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1971. Jay had worked at 4 firms and has passed the 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
May 23, 1980 - October 22, 2002
SECURITY RESEARCH ASSOCIATES, INC.
April 10, 1979 - June 8, 1980
CROWELL, WEEDON & CO.
September 1, 1972 - March 26, 1979
BIRR, WILSON & CO., INC.
July 1, 1971 - September 18, 1972
BWA INCORPORATED
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 1
Date: 6/24/1971
Registered Representative ExaminationSeries 40
Date: 12/22/1972
Registered Principal ExaminationCurrent Firm
SECURITY RESEARCH ASSOCIATES, INC.
CRD#: 8200 / SEC#: , 8-24626
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SWIFT, BRIAN GARNER | CHAIRMAN | 441317 |
| COLLINS, TIMOTHY | PRESIDENT, CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR - CAPITAL MARKETS | 51366 |
| DE-JOUNGE, ANDERS ARENDT | OWNER | 2318841 |
| MAGOWAN, JAMES BASIL | OWNER | 5781647 |
| HAMILTON, GARY LEE | OWNER & SECRETARY | 4851778 |
| KLAGES, WILLIAM ALBERT | OWNER | 4748921 |
| LEWIS, CRAIG STOUT | OWNER | 5501107 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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