Lawrence J. J. 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.
Lawrence J. John Hayes, who also goes by Lawrence John Hayes, was a registered financial professional .
Lawrence J. is a previously registered financial professional and started their career in finance in 1973. Lawrence J. had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2009 - January 30, 2026
UBS FINANCIAL SERVICES INC.
May 27, 2009 - January 30, 2026
UBS FINANCIAL SERVICES INC.
April 25, 2003 - May 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 23, 2003 - May 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 16, 1999 - May 15, 2003
LOCKWOOD FINANCIAL SERVICES, INC.
September 21, 1998 - May 15, 2003
LOCKWOOD FINANCIAL SERVICES, INC.
July 31, 1993 - September 23, 1998
CITIGROUP GLOBAL MARKETS INC.
November 22, 1977 - July 31, 1993
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
March 16, 1973 - November 8, 1974
HAYDEN STONE INC.
February 1, 1973 - March 16, 1973
HAYDEN STONE INC.
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 7/18/1977
AMEX Put and Call ExamSeries 1
Date: 1/25/1973
Registered Representative ExaminationSeries 8
Date: 11/19/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 476 |
| Civil Event | 5 |
| Arbitration | 444 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
Company Information
UBS FINANCIAL SERVICES INC.
Vice President–Wealth ManagementCRD#: 8174TRUST BUT VERIFY
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