Michael A. Hayes

CETERA INVESTMENT ADVISERS LLC

SAN DIEGO, CA 92101

Some features on this profile are disabled

CRD#: 2874860

Professional summary

Michael Alan Hayes, who also goes by Mike Hayes, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Diego, California and CETERA WEALTH SERVICES, LLC located in San Diego, California.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Hayes

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.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND LONG TERM CARE 2.NAME OF OTHER BUSINESS: AMERICAN REAL ESTATE BROKERS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: REAL ESTATE POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: 15 BRIEF DESCRIPTION OF DUTIES: PURCHASE & SALE OF SINGLE FAMILY, MULTI FAMILY & COMMERCIAL PROPERTY 3.NAME OF OTHER BUSINESS: AMERICAN FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: OWNER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Alan Hayes'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 655 W Broadway12th Fl, San Diego, CA 92101

RIA

CRD#: 105644

SAN DIEGO, CA

Current

November 1, 2017 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

SAN DIEGO, CA

Past

October 9, 2017 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

SAN DIEGO, CA

Past

December 16, 2004 - November 1, 2017

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

SAN DIEGO, CA

Past

December 16, 2004 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

SAN DIEGO, CA

Past

January 2, 2003 - December 17, 2004

SPELMAN & CO., INC.

RIA

CRD#: 10232

SAN DIEGO, CA

Past

December 20, 2002 - December 17, 2004

SPELMAN & CO., INC.

CRD#: 10232

PHOENIX, AZ

Past

August 24, 1998 - November 22, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SAN DIEGO, CA

Past

March 13, 1998 - November 22, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 28, 1997 - April 8, 1998

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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

Alaska
(5/7/2018)

California
(11/1/2017)

IAR

California
(6/29/2023)

Louisiana
(3/30/2023)

Minnesota
(11/1/2017)

Oregon
(11/1/2017)

Washington
(11/1/2017)

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: 6/2/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/27/1997

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: 5/23/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/6/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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

Paul Neves

LPL FINANCIAL LLC

IAR

SAN DIEGO, CA

Alice Ruiz

SCHWAB WEALTH ADVISORY, INC.

IAR

San Diego, CA

Natalie Stenehjem

OSAIC WEALTH, INC.

IAR

San Diego, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael A. Hayes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Alan Hayes's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

SPELMAN & CO., INC.

SPELMAN & CO., INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/2/1997

Series 63

Date: 5/27/1997

SIE

Date: 10/1/2018

Series 7

Date: 5/23/1997

Series 24

Date: 5/6/2008

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors