Hayes S. Brown
Professional summary
Hayes S Brown, who also goes by Hayes S Brown, Hayes Samuel Brown, is a registered financial professional currently at OSAIC WEALTH, INC. located in Scottsdale, Arizona and LADENBURG THALMANN & CO. INC. located in New York, New York.
Hayes is registered as a RR (Registered Representative) and started their career in finance in 1996. Hayes has worked at 14 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Hayes S Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 13, 2022 - Present
OSAIC WEALTH, INC.
Office #1: 18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255September 14, 2022 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 640 5th Avenue 4th Floor, New York, NY 10019July 13, 2022 - November 3, 2023
FSC SECURITIES CORPORATION
July 13, 2022 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
July 13, 2022 - June 14, 2024
SECURITIES AMERICA, INC.
July 13, 2022 - August 23, 2024
TRIAD ADVISORS LLC
July 12, 2022 - September 1, 2023
OSAIC SERVICES, INC.
November 27, 2020 - December 16, 2020
E*TRADE SECURITIES LLC
February 8, 2010 - January 11, 2019
FINTECH SECURITIES
November 7, 2005 - January 26, 2010
TRIAD ADVISORS LLC
August 15, 2003 - July 12, 2005
TRUIST SECURITIES, INC.
February 14, 2000 - January 18, 2002
WACHOVIA SECURITIES, INC.
October 27, 1998 - February 14, 2000
WACHOVIA BROKERAGE SERVICE
September 13, 1996 - July 24, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 13, 1996 - July 24, 1998
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/23/2023)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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