Joshua G. Hayes
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.
Joshua Glade Hayes was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2000. Joshua had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2015 - May 3, 2017
NATIONWIDE INVESTMENT ADVISORS, LLC
December 15, 2015 - May 3, 2017
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 8, 2013 - May 9, 2016
ALIGHT FINANCIAL ADVISORS, LLC
November 15, 2012 - May 9, 2016
ALIGHT FINANCIAL SOLUTIONS, LLC
June 18, 2008 - November 13, 2012
NATIONWIDE INVESTMENT ADVISORS, LLC
June 13, 2008 - November 13, 2012
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 15, 2008 - May 21, 2008
CUSO FINANCIAL SERVICES, L.P.
April 15, 2008 - May 21, 2008
CUSO FINANCIAL SERVICES, L.P.
November 30, 2007 - February 1, 2008
CUSO FINANCIAL SERVICES, L.P.
November 30, 2007 - February 1, 2008
CUSO FINANCIAL SERVICES, L.P.
July 21, 2003 - October 12, 2007
VALIC FINANCIAL ADVISORS, INC.
April 11, 2002 - October 12, 2007
VALIC FINANCIAL ADVISORS, INC.
September 6, 2001 - April 5, 2002
LEGEND EQUITIES CORPORATION
January 17, 2000 - September 18, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
January 17, 2000 - September 18, 2001
VALIC FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
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
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 270,365 |
| AUM (Assets Under Management) | $ 15,686,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 01/26/2024 | ||
| 10/26/2022 |
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.
