Hayward B. Roy
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.
Hayward Benjamin Roy, who also goes by Ben Roy, was a registered financial professional .
Hayward is a previously registered financial professional and started their career in finance in 1997. Hayward had worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2007 - November 20, 2012
ADVANCED EQUITIES, INC.
August 31, 2007 - November 20, 2012
ADVANCED EQUITIES, INC.
July 20, 2004 - August 31, 2007
ZACKS INVESTMENT MANAGEMENT, INC.
July 20, 2004 - April 6, 2005
LBMZ SECURITIES, INC.
December 9, 2002 - April 12, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 9, 2002 - April 12, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 24, 2002 - October 9, 2002
BANC ONE SECURITIES CORPORATION
June 21, 2002 - October 9, 2002
BANC ONE SECURITIES CORPORATION
February 4, 2002 - June 19, 2002
VOYA FINANCIAL ADVISORS, INC.
March 20, 2001 - December 3, 2001
IAC SECURITIES, INC.
February 15, 2000 - March 15, 2001
IDS LIFE INSURANCE COMPANY
February 15, 2000 - March 15, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
February 18, 1997 - October 25, 1999
A. G. EDWARDS & SONS, INC.
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
Current Firm
ADVANCED EQUITIES, INC.
CRD#: 35545 / SEC#: 801-67983, 8-46742
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANCED EQUITIES FINANCIAL CORP. | OWNER | |
| BAHULEYAN, SAJU | FINOP | 2318290 |
| BAHULEYAN, SAJU | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISOR DIVISION | 2318290 |
| BECK, KEITH ENRIQUE | BRANCH MANAGER- CHICAGO | 1690201 |
| BECK, KEITH ENRIQUE | CHIEF COMPLIANCE OFFICER- BROKER DEALER | 1690201 |
| BENDER, BRIAN | MUNICIPAL SECURITIES PRINCIPAL | 1552650 |
| BENDER, BRIAN | ROSFP | 1552650 |
| CHRISTAKOS, BASIL | COMPLIANCE AND BRANCH MANAGER - NEW YORK | 2290795 |
| CROWE, BYRON KEITH | PRESIDENT | 1586181 |
| DAUBENSPECK, KEITH GREGORY | CHAIRMAN AEFC | 1463372 |
| GARTNER, MATTHEW S | COMPLIANCE MANAGER - CHICAGO | 5625600 |
| MECHAM, LEONIDAS CARTER | CHIEF FINANCIAL OFFICER | 5422991 |
| PASCAL, GERALD PALMER | COMPLIANCE AND BRANCH MANAGER- SAN FRANCISCO | 5033755 |
| PASCAL, GERALD PALMER | AML COMPLIANCE OFFICER | 5033755 |
| ROGERS, DAVID SHAWN | CHIEF OPERATING OFFICER | 3081518 |
| ROGERS, DAVID SHAWN | NATIONAL SALES DIRECTOR | 3081518 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
