David K. Hays

CFCI

BLOOMINGTON, IN 47403

Some features on this profile are disabled

CRD#: 2434893

Professional summary

David Keith Hays, who also goes by Dave Hays, David K Hays, is a registered financial advisor currently at CFCI located in Bloomington, Indiana and J. W. COLE ADVISORS, INC. located in Bloomington, Indiana.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Hays | David K Hays

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.

(1) Sells Various lines of insurance through various insurance companies (2) Comprehensive Financial Consultants Institutional INC (CFCI): President; Prepare Taxes; RIA. (3) David Hays; Author; Promote Book, Speaking Engagements; 4 HRS/MO; $500/YR. (4) Monroe Hospital; Board Member; 4011 S Monroe Medical Park BLVD, Bloomington, IN 47403; Healthcare; 12/2005; 1 HR/MO; 0 during trading hours; Quarterly Meetings / Special Meetings. (5) Comprehensive Financial Consultants of Indiana, INC. (CFC); President; 674 S. College AVE Bloomington IN 47403; Operating company for financial planning, Insurance sales, Investments and Tax Preparation; Owner; 10/1994; 165 HRS/MO during trading hours; Officer/Director. (6) Bloomington Vendors, INC; Non-Investment Related; 1117 N Jackson ST Bloomington IN 47404; Commercial Real Estate - Warehouse Facility; Owner; 6/1968; 4 HR/MO; 2 hours during trading; Weekly phone call with management. (7) Financial Educators of Indiana; Non-investment related; 674 College Ave Bloomington, IN; Educator; 02/02/2018 F. 12 hours per month; 6 hours during trading hours; teaching educational courses on financial topics. (8) Hoosier Choice Properties LLC; Real estate property management company; Limited Liability Company; Non-Investment Related; 4HRS/MO, 4 During trading. (9) Lake Lemon Porthole LLC; 8301 South Anne Avenue; Not investment related; Rental Real Estate and Restaurant; Member; Entity set up, quarterly partner meeting; Start 1/1/2023; 0 hours during trading. (10) Speedway Partners LLC; 672 S College Ave Bloomington, IN; Non-Investment Related; Managing Member; Historic racetrack that will be rented out for events and community usage; Start 11/2024; 0 hours during trading. Real Estate Investments, Non-Investment Related: (11) South College Investments, LLC; 660 S College Ave; Commercial property; Member; 10/2002; 1 HR/MO, 1 during trading hours; Owner. (12) Rockport Investment Group LLC; 5110 S Commercial St Bloomington, IN; Commercial and Residential Real Estate; Member; 5/1997; 1 HR/ MO / 1 during trading hours; Annual Meetings. (13) WWHB LLC; 8301 Anne Ave, Bloomington IN 47401; Rental Real Estate; 1/2002; 1 HR/MO; 1 during trading hours; Owner. (14) Smith & Hays Properties LLC; 1575 Linda Ln, Bloomington IN 47401; Commercial Rental Real Estate; Owner; 4/2004; 1 HR/MO; 1 during trading hours. (15) DBH Development LLC; 8301 Anne Ave, Bloomington IN 47401; Land for future investment; Member; 4/2007. (16) Generational Properties, LLC.; 674 S College Ave., Bloomington, IN 47403; Apartment Complex; Member; Start date: 6/9/2020; 8 hours per month, 4 during trading hours; Owner. (17) Rugar Hays; 50% Owner - start 1/1/2021; 8301 S Anne Ave Bloomington, IN 47401; Owner of Membership interest in Generational Properties LLC, a Real Estate Holding Company; 4 hours per month, 0 during trading. (18) WDBH LLC; Managing Member; 8301 S. Anne Avenue Bloomington, IN 47401; 0 hours per month during trading. (19) Highland Village Properties LLC; 672 College Ave., Bloomington, IN 47403; Start Date: 6/30/2021; Partner; Monthly update meeting; 2 hours per month, 0 during trading. (20) Hays Warehouse LLC; 672 S. College Ave., Bloomington, IN 47403; Start date: 6/30/2021; Member; Monthly update meetings; 2 hours per month, 0 during trading. (21) Robert Stillions Legacy LLC; 674 S College Ave Bloomington IN 47403; start date: 12/14/2021; owner of a vacant lot; 0 hours per month during trading. (22) BuyBackTheBlock LLC; 3943 Bennett Drive, Indianapolis, IN 46254; Start 7/26/2021; Member; 0 hours. (23) 4MNE LLC; 3746 E Commodore, Bloomington, IN, 47401; Member; 7/1/2024; 0 hours spent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Keith Hays's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 22, 2003 - Present

CFCI

Office #1: 674 S. College Ave, Bloomington, IN 47403

RIA

CRD#: 128257

BLOOMINGTON, IN

Current

May 30, 2013 - Present

J. W. COLE ADVISORS, INC.

Office #1: 674 S. College Avenue, Bloomington, IN 47403

RIA

CRD#: 112294

Bloomington, IN

Current

May 22, 2013 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 674 S. College Ave., Bloomington, IN 47403

CRD#: 124583

Bloomington, IN

Past

November 14, 2002 - April 9, 2013

SPC

RIA

CRD#: 110692

BLOOMINGTON, IN

Past

November 6, 2002 - April 9, 2013

PARKLAND SECURITIES, LLC

CRD#: 115368

BLOOMINGTON, IN

Past

May 17, 1999 - November 6, 2002

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

BLOOMINGTON, IN

Past

October 9, 1998 - November 6, 2002

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

November 1, 1995 - October 13, 1998

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

January 14, 1994 - November 7, 1995

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(7/28/2022)

California
(5/22/2013)

Florida
(7/18/2016)

Georgia
(6/4/2021)

IAR

Indiana
(10/22/2003)

Indiana
(5/31/2013)

Kentucky
(10/10/2023)

New York
(7/8/2013)

North Carolina
(5/15/2019)

South Carolina
(10/10/2019)

IAR

Texas
(3/24/2005)

Texas
(1/8/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/15/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/29/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/24/1999

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 6/6/1997

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 12/28/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/12/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

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Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

Phone number

(813) 935-6776

Established

Firm type

Fiscal year end

# of Employees

512

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/28/2025)

JWCA 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	29,614
AUM (Assets Under Management)	$ 7,195,237,282

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.

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Advisor Monitoring

Firm Stability Insights

David K. Hays

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Keith Hays's CRS (Customer Relationship Summary).

Certified licenses

Experience

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

SPC

PARKLAND SECURITIES, LLC

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

SECURIAN FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/2009

Series 63

Date: 12/29/1993

SIE

Date: 10/1/2018

Series 7

Date: 3/24/1999

Series 62

Date: 6/6/1997

Series 6

Date: 12/28/1993

Series 24

Date: 1/12/1999

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J. W. COLE ADVISORS, INC.

TRUST BUT VERIFY

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