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Damien Hayes

Some features on this profile are disabled
CRD#: 4564260
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.

Damien Hayes, who also goes by Damien Nathaniel Hayes, was a registered financial professional .

Damien is a previously registered financial professional and started their career in finance in 2002. Damien had worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Damien Nathaniel Hayes

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, 2012 - December 14, 2012

WTS PROPRIETARY TRADING GROUP LLC

BD
CRD#: 148117
NEW YORK, NY
Past

December 9, 2002 - March 6, 2003

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY
Past

August 12, 2002 - October 28, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY

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: 8/23/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/8/2002
General Securities Representative Examination

Current Firm

WP
WTS PROPRIETARY TRADING GROUP LLC
WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117 / SEC#: , 8-67986

BD
Terminated by SEC on 03/06/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/09/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WTS PTG HOLDINGS, LLCOWNER
CLARK, CHESTER EDMONDCEO2486219
DISCENZA, PETER VINCENT JRCHIEF COMPLIANCE OFFICER4386342
JONES, WILLIAM RUSSELLOPERATIONS MANAGER2948251
LI, XIAOYANFINOP4465893

Disclosures

Regulatory Event6

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

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

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