Daniel J. 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.
Daniel James Hayes JR, who also goes by Dan Dan, Daniel James Hayes, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2000. Daniel had worked at 8 firms and has passed the Series 63, Series 62 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
March 8, 2013 - April 22, 2014
BLACKBOOK CAPITAL, LLC
January 25, 2010 - July 7, 2010
BROOKVILLE CAPITAL PARTNERS
March 15, 2006 - July 6, 2006
J.P. TURNER & COMPANY, L.L.C.
January 5, 2005 - August 26, 2005
GUNNALLEN FINANCIAL, INC
August 25, 2004 - January 7, 2005
BENSON YORK GROUP, INC.
June 17, 2003 - July 17, 2003
CONTINENTAL BROKER-DEALER CORP.
January 16, 2001 - March 21, 2002
NEW WORLD FINANCIAL, INC.
December 7, 2000 - January 22, 2001
HAPOALIM SECURITIES USA, INC.
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
Series 62
Date: 3/7/2013
Corporate Securities Limited Representative ExaminationCurrent Firm
BLACKBOOK CAPITAL, LLC
CRD#: 123234 / SEC#: , 8-65577
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OGELE, FRANKLIN IHENDU | CEO, PRESIDENT, FINOP, CCO | 2197820 |
| APEX HOMES, INC | MEMBER |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Judgment/Lien | 1 |
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.
