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DH

Dennis A. Hayes

Some features on this profile are disabled
CRD#: 4403550
DH

Professional summary

Dennis Allen Hayes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Dennis is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Dennis had worked at 10 firms, which includes SW FINANCIAL, NFSG CORPORATION, NEWBRIDGE SECURITIES CORPORATION, KESTRA INVESTMENT SERVICES LLC, CIC ADVISERS LLC, CAPITAL INVESTMENT GROUP INC., MML INVESTORS SERVICES LLC, EQUITY SERVICES INC., VERAVEST INVESTMENTS INC., THRIVENT INVESTMENT MANAGEMENT INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

April 25, 2017 - April 27, 2017

SW FINANCIAL

BD
CRD#: 145012
MELVILLE, NY
Past

April 14, 2010 - September 16, 2016

NFSG CORPORATION

RIA
CRD#: 130814
CHARLOTTE, NC
Past

February 16, 2010 - September 16, 2016

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

February 6, 2009 - February 19, 2010

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
CHARLOTTE, NC
Past

February 6, 2009 - February 19, 2010

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
CHARLOTTE, NC
Past

September 15, 2006 - February 6, 2009

CIC ADVISERS, LLC

RIA
CRD#: 130735
CHARLOTTE, NC
Past

September 15, 2006 - February 6, 2009

CAPITAL INVESTMENT GROUP, INC.

BD
CRD#: 14752
CHARLOTTE, NC
Past

October 11, 2005 - September 12, 2006

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
CHARLOTTE, NC
Past

September 20, 2005 - September 12, 2006

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
CHARLOTTE, NC
Past

December 16, 2003 - September 21, 2005

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT
Past

October 17, 2003 - December 1, 2003

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
WORCESTER, MA
Past

July 6, 2001 - March 1, 2002

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
MINNEAPOLIS, MN

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
Series 63
Date: 7/2/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/27/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/25/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/5/2001
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SF
SW FINANCIAL
SALOMON WHITNEY FINANCIAL | SW FINANCIAL | SALOMON WHITNEY LLC

CRD#: 145012 / SEC#: , 8-67688

BD
Postponed Effective by SEC on 05/16/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 06/11/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ANGIA HOLDINGS, LLC75.1% OWNER

Disclosures

Regulatory Event7
Arbitration7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

SW FINANCIAL

CRD#: 145012

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