RH
Raymond R. Hays
SIGNAL SECURITIES
DALLAS, TX
Some features on this profile are disabled
CRD#: 2701072
RH
Professional summary
Raymond Rodney Hays, who also goes by Rod Hays, is a registered financial professional currently at SIGNAL SECURITIES, INC. located in Dallas, Texas.
Raymond is registered as a RR (Registered Representative) and started their career in finance in 1996. Raymond has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rod 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Raymond Rodney Hays'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®
NoneExperience
Current
August 6, 2004 - Present
SIGNAL SECURITIES, INC.
RIA
BD
CRD#: 15916
DALLAS, TX
Past
August 17, 2004 - December 31, 2017
SIGNAL SECURITIES, INC.
RIA
CRD#: 15916
PLANO, TX
Past
January 7, 2003 - August 24, 2004
HIGH MARK SECURITIES, INC.
BD
CRD#: 42467
LAKELAND, FL
Past
April 13, 2001 - January 17, 2003
FFP ADVISORY SERVICES INC
RIA
CRD#: 110778
PLANO, TX
Past
January 4, 2001 - January 17, 2003
FFP SECURITIES, INC.
BD
CRD#: 16337
CHESTERFIELD, MO
Past
June 22, 1998 - January 5, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
June 22, 1998 - January 5, 2001
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
March 18, 1996 - June 19, 1998
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
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".
SS
SIGNAL SECURITIES, INC.
SIGNAL SECURITIES, INC.
CRD#: 15916 / SEC#: 801-63630, 8-32948
RIA
Registered Investment Advisory firm - SEC (11/4/2004 Approved)Arizona
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)California
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (12/12/2001 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/15/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (9/16/2005 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Texas(8/6/2004)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SIGNAL SECURITIES, INC.
SIGNAL SECURITIES, INC.
CRD#: 15916 / SEC#: 801-63630, 8-32948
RIA
Registered Investment Advisory firm - SEC (11/4/2004 Approved)Arizona
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)California
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (12/12/2001 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/15/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (9/16/2005 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
700 Throckmorton Street, Fort Worth, TX 76102
Mailing Address
700 Throckmorton Street, Fort Worth, TX 76102-5036
Phone number
(817) 877-4256
Established
Texas since 09/24/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
37
SEC notice filing (16 States and Territories)
FINRA licenses (45 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,832 |
| AUM (Assets Under Management) | $ 599,186,467 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
