Joseph E. Hay

INDY ADVISORS.

Indianapolis, IN

Some features on this profile are disabled

CRD#: 2435007

Professional summary

Joseph Earl Hay, CFP®, who also goes by Joe Hay, is a registered financial advisor currently at INDY ADVISORS, LLC. located in Indianapolis, Indiana.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Joseph has worked at 7 firms and has passed the Series 63, Series 7, Series 6 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Hay

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Earl Hay's 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®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Current

January 28, 2010 - Present

INDY ADVISORS, LLC.

RIA

CRD#: 152791

Indianapolis, IN

Past

December 7, 2007 - March 4, 2010

QA3 FINANCIAL LLC

RIA

CRD#: 104957

INDIANAPOLIS, IN

Past

November 7, 2007 - March 4, 2010

QA3 FINANCIAL CORP.

CRD#: 14754

INDIANAPOLIS, IN

Past

August 31, 1995 - December 19, 2003

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PUNTA GORDA, FL

Past

August 25, 1995 - December 19, 2003

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

June 27, 1994 - September 21, 1994

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 27, 1994 - September 21, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

January 1, 1994 - January 13, 1994

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

Indiana
(1/28/2010)

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.

Exams

State Security Law Exam

Series 63

Date: 11/20/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/6/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/27/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 8

Date: 4/20/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

INDY ADVISORS, LLC.

CRD#: 152791 / SEC#:

Florida

Registered Investment Advisory firm - (5/14/2020 Terminated)

Indiana

Registered Investment Advisory firm - (1/28/2010 Approved)

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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Indianapolis, IN

Mailing Address

Phone number

(317) 679-4930

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	59
AUM (Assets Under Management)	$ 9,019,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph E. Hay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Earl Hay's CRS (Customer Relationship Summary).

Certified licenses

Experience

QA3 FINANCIAL LLC

QA3 FINANCIAL CORP.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 63

Date: 11/20/2007

Series 7

Date: 11/6/2007

Series 6

Date: 12/27/1993

Series 8

Date: 4/20/1998

Current Firm

INDY ADVISORS, LLC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INDY ADVISORS, LLC.

TRUST BUT VERIFY

Similar Advisors