Brendan P. 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.
Brendan Pierce Hayes, who also goes by Brendan Hayes, was a registered financial professional .
Brendan is a previously registered financial professional and started their career in finance in 2003. Brendan had worked at 2 firms and has passed the Series 17 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2012 - October 15, 2012
LOUIS CAPITAL MARKETS, LLC
November 4, 2003 - February 14, 2012
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 17
Date: 11/3/2003
Limited Registered Representative ExaminationCurrent Firm
LOUIS CAPITAL MARKETS, LLC
CRD#: 48013 / SEC#: , 8-52013
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
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.
