Cory L. Haynes
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.
Cory Lennard Haynes, who also goes by Cory Haynes, was a registered financial professional .
Cory is a previously registered financial professional and started their career in finance in 2007. Cory had worked at 6 firms and has passed the Series 66, Series 7TO, SIE, Series 31 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
January 23, 2019 - September 16, 2020
FORGE MARKETS LLC
January 3, 2017 - January 23, 2017
NUVEEN SECURITIES, LLC
September 18, 2014 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
July 5, 2010 - November 8, 2012
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
July 24, 2008 - February 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 24, 2008 - February 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 24, 2007 - June 25, 2008
MORGAN STANLEY & CO. LLC
April 11, 2007 - June 25, 2008
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/13/2022
General Securities Representative ExaminationCurrent Firm
FORGE MARKETS LLC
CRD#: 166555 / SEC#: , 8-69232
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
