James H. Hayward
Professional summary
James Harold Hayward JR, who also goes by James H Haywaard, Jr, James Harold Hayward, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Naples, Florida.
James is registered as a RR (Registered Representative) and started their career in finance in 2002. James has worked at 4 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Harold Hayward JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 21, 2021 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 4851 Tamiami Trail North, Naples, FL 34103January 23, 2017 - December 6, 2018
PNC WEALTH MANAGEMENT LLC
January 23, 2017 - December 6, 2018
PNC WEALTH MANAGEMENT LLC
January 15, 2014 - February 20, 2015
PNC WEALTH MANAGEMENT LLC
January 15, 2014 - February 20, 2015
PNC WEALTH MANAGEMENT LLC
November 18, 2010 - January 31, 2012
PNC WEALTH MANAGEMENT LLC
August 23, 2010 - January 31, 2012
PNC WEALTH MANAGEMENT LLC
January 10, 2006 - August 2, 2010
CETERA INVESTMENT SERVICES LLC
June 3, 2005 - December 31, 2005
CADARET, GRANT & CO., INC.
December 12, 2002 - January 14, 2004
THRIVENT INVESTMENT MANAGEMENT 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
(1/11/2022)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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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