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BH

Brian C. Haise

HEDGEBAY SECURITIES LLC
Westport, CT 06880
Some features on this profile are disabled
CRD#: 4287316
BH

Professional summary

Brian C Haise, who also goes by Brian Charles Haise, is a registered financial professional currently at HEDGEBAY SECURITIES LLC located in Westport, Connecticut.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2000. Brian has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 50, Series 55, Series 7 and Series 25 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian Charles Haise

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) - BD

Click below to view Brian C Haise'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

September 18, 2020 - Present

HEDGEBAY SECURITIES LLC

Office #1: 62 Post Road West, Westport, CT 06880
BD
CRD#: 121136
Westport, CT
Past

May 22, 2018 - September 16, 2020

BAY CREST PARTNERS, LLC

BD
CRD#: 39944
NY, NY
Past

May 11, 2018 - May 18, 2018

BLAYLOCK VAN, LLC

BD
CRD#: 145317
NEW YORK, NY
Past

September 23, 2014 - March 23, 2018

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

September 5, 2007 - July 2, 2014

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
NEW YORK, NY
Past

July 11, 2001 - September 5, 2007

MCCAULEY SECURITIES, LTD.

BD
CRD#: 33043
NEW YORK, NY
Past

October 1, 2000 - July 9, 2001

M.J. WRAY CORP.

BD
CRD#: 39423
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(9/18/2020)
RR
Connecticut
(9/18/2020)
RR
New Jersey
(9/18/2020)
RR
New York
(9/18/2020)
RR
Pennsylvania
(9/18/2020)
RR
Texas
(9/18/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 2/1/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 2/1/2017
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 55
Date: 3/28/2008
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/5/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 25
Date: 10/12/1999
NYSE Trading Assistant Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HEDGEBAY SECURITIES LLC
CENTRE CAPITAL ADVISORS, LLC | HEDGEBAY SECURITIES LLC

CRD#: 121136 / SEC#: , 8-65385

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

Main Address
62 Post Road West, Westport, CT 06880
Mailing Address
62 Post Road West, Westport, CT 06880
Phone number
(203) 227-9588
Established
Delaware since 11/26/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HEDGEBAY HOLDINGS LLCOWNER
HERMAN, JARED ROSSPRESIDENT2167084
KURIAN, ANDREW SPENCERMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER AND FINOP, PFO & POO2756309
LEDERER, JAMES ROBERTGENERAL COUNSEL6866034

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

HEDGEBAY SECURITIES LLC

CRD#: 121136Westport, CT 06880

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