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Denise A. Hays

Some features on this profile are disabled
CRD#: 4232536
DH

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.

Denise Ann Hays, who also goes by Denise Ann Kawas, Denise Ann Lopez, was a registered financial professional .

Denise is a previously registered financial professional and started their career in finance in 2000. Denise had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Denise Ann Kawas | Denise Ann Lopez

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 20, 2014 - May 9, 2019

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
HOUSTON, TX
Past

March 6, 2009 - January 25, 2013

BOK FINANCIAL SECURITIES, INC.

RIA
CRD#: 17530
HOUSTON, TX
Past

March 6, 2009 - January 25, 2013

BOK FINANCIAL SECURITIES, INC.

BD
CRD#: 17530
HOUSTON, TX
Past

November 13, 2006 - February 27, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
HOUSTON, TX
Past

November 13, 2006 - February 27, 2009

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
HOUSTON, TX
Past

August 25, 2006 - August 29, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
HOUSTON, TX
Past

August 25, 2006 - August 29, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
HOUSTON, TX
Past

December 13, 2000 - August 3, 2006

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
HOUSTON, TX
Past

December 13, 2000 - August 3, 2006

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
HOUSTON, TX
Past

November 3, 2000 - December 13, 2000

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
MINNEAPOLIS, MN
Past

August 25, 2000 - May 2, 2001

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/19/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/24/2000
General Securities Representative Examination

Current Firm

CC
COREBRIDGE CAPITAL SERVICES, INC.
AIG CAPITAL SERVICES, INC. | SUNAMERICA CAPITAL SERVICES, INC. | INTEGRATED RESOURCES CAPITAL SERVICES, INC. | INTEGRATED CAPITAL SERVICES, INC. | COREBRIDGE CAPITAL SERVICES, INC. | AIG SUNAMERICA CAPITAL SERVICES, INC.

CRD#: 13158 / SEC#: , 8-28733

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
30 Hudson Street 16th Floor, Jersey City, NJ 07302
Mailing Address
30 Hudson Street 16th Floor, Jersey City, NJ 07302
Phone number
(201) 324-6300
Established
Delaware since 11/05/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SUNAMERICA ASSET MANAGEMENT, LLC.SHAREHOLDER
BURNETTE, CYNTHIA LEACHIEF FINANCIAL OFFICER1863103
FORTEY, MICHAELCHIEF COMPLIANCE OFFICER2304969
NASTA, CHRISTINA MARIEPRESIDENT2736888

Disclosures

Regulatory Event1

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.

Company Information

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

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